Internal Audit Manager - Wealth Management
Internal Audit Manager - Wealth Management
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1 Vacancy
Job Description
Internal Audit Manager Wealth Management
Overview: Our client is seeking a skilled AML/CFT/Sanctions professional to join their Regulatory Compliance group within the Internal Audit Compliance and Legal Division. This role is ideal for compliance and audit professionals eager to drive impactful client solutions and strengthen regulatory programs.
Job Type: Contractbased and Hybrid
Location: New York NY or Dallas TX or Salt Lake City UT
Key Responsibilities:
- Lead AML/Compliancefocused audits for financial institutions.
- Assess programs identify gaps and enhance controls.
- Develop and implement AML policies and governance frameworks.
- Conduct independent testing and provide improvement recommendations.
- Address regulatory actions with sustainable solutions.
- Collaborate with internal audit teams and build client relationships.
- Understanding of Wealth Management business areas its products and supporting functions is preferred.
- Assist in every step of an audit including scoping planning fieldwork and reporting.
- Execute audit testing.
- Identify risks assess mitigating controls and make recommendations on improving the control environment.
- Prepare commercially effective audit conclusions and findings and present to IA senior management and business clients.
- Followup on open audit issues and their resolution.
- Assist in the audit teams continuous monitoring effort to cover market and regulatory events business and technology updates and audit/reviews completed.
Qualifications:
- Experience: 6 years in AML audit legal or compliance roles.
- Certifications: CAMS CRCM CIA (required).
- Skills: Strong leadership communication and client service skills.
- Education: Bachelors degree (advanced degrees preferred).
- Travel: Willingness to travel as needed.
Join a dynamic team where your expertise in AML and compliance will be valued and your contributions will make a significant impact. We offer a collaborative environment and opportunities for professional growth.
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Employment Type
Full Time
