Compliance Audit Manager

Functional Title: Compliance Audit Manager

Corporate Title: Vice President

Office Location: New York

CORPORATION: BHI

DEPARTMENT: Internal Audit

REPORTS TO: Chief Auditor

Job Summary:

Manage and perform internal audits in the U.S., with a focus on compliance and financial crime. Perform continuous monitoring activities. Evaluate the effectiveness of risk management, control, and governance processes.

Main Duties and Responsibilities:

• Plan and execute audits, in accordance with audit policies, professional and regulatory standards.
• Draft audit reports, presents findings to management and develop practical recommendations.
• Maintain complete and accurate work papers and, at times, review the work of others.
• Contribute to audit process improvements and efficiency, including data driven approaches.
• Monitor and execute validation testing of assigned audit and regulatory findings.
• Perform continuous monitoring activities to identify key changes and emerging risks.
• Develop an effective and trusted relationship with management.
• Perform other duties, special projects and reviews, as assigned.
• Provides training opportunities

Knowledge Skills:

• Strong knowledge of compliance matters, including financial crime regulations.
• Strong project management skills.
• Knowledge of audit principles, processes, techniques, and tools. Experience with TeamMate+ preferred.
• Familiarity with data driven approaches. Knowledge of data analytics techniques and systems is a plus (i.e., Tableau, Qlik Sense, BI tools, Phyton…).

Competencies:

• Strong written, verbal and interpersonal communication skills required. Ability to communicate effectively with all personnel, including senior management.
• Influential team player, with demonstrated leadership abilities.
• Displays personal initiative, self-motivation and results orientation.
• Sound analytical/innovative thinker, comfortable with making tough decisions and focused on continuous learning and process improvement.
• Ability to work independently, or as part of a team.
• Ability to manage time effectively, including ability to multitask and change priorities.

Experience Required/Preferred:

• 5+ years relevant audit experience in banking, and compliance auditing.

• Experience in foreign bank organizations preferred.

Education Required/Preferred:

• Bachelor’s degree (Accounting or Finance) or equivalent.

• CAMS certification (or equivalent) strongly preferred.

• CPA, CIA, or CISA certifications (or equivalent) preferred.