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The Vice President, Senior Audit Quality Assurance & Improvement Program (QAIP) position is a leadership role within the Internal Audit for the Americas (IAA) function, reporting to a Director and supervising associates and analysts. The position is responsible for assessing departmental conformance with the IAA standards and driving change to improve processes, procedures, and quality throughout the audit department globally. The primary coverage area of the role will be Global Financial Crimes, including AML, Sanctions, and Bribery and Corruption.
Develop the annual quality assurance plan for Global Financial Crimes, implementing a risk based approach to prioritize plan and scope
Lead and execute the quality assurance plan, performing reviews of planning processes, risk assessments, audit execution, and regulatory and audit issue validations
Develop QA testing programs designed to effectively assess the department's conformance with IAA's audit methodology and regulatory requirements, including challenging audit scope, execution, and conclusions
Draft quality assurance reports recommending and communicating improvement opportunities to the audit teams
Continuously improve audit practices and methodology based on knowledge of best practices, industry standards and regulations and present areas and opportunities for alignment
Maintain knowledge of and industry leading practices around audit quality assurance and improvement
Proactively monitor changes to BSA/AML regulatory requirements
Partner with the Training department to develop specific training topics based on the results of quality assurance observations
Demonstrate professional skepticism and personal accountability
Delivery of high quality work within designated timeframes and budgets
Minimum of eight years of relevant internal audit experience, including solid understanding of BSA/AML requirements (e.g., KYC, OFAC/Sanctions, Transaction Monitoring)
Strong knowledge of bank and branch operations, including retail banking
Experience with the financial services industry, related markets, and related regulatory agencies
Bachelors' Degree at an accredited college or university
Professional certifications, such as the CAMS, CPA, or CIA are highly desirable
Strong understanding of audit practices and methodology
Ability to influence stakeholders and challenge the status quo, including managing conflicts and issue resolution
Strong written and verbal communication skills
Strong project management skills and ability to coordinate/integrate efforts across multiple groups within audit globally
Highly motivated, takes initiative, problem solver, solution oriented
The above statements are intended to describe the general nature and level of the work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified.
We are proud to be an Equal Opportunity / Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives, and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate in employment decisions on the basis of any protected category.
A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.