MANAGER OF AUDIT II-BSA/AML

WHAT IS THE OPPORTUNITY?

The Audit Manager II position will help to lead the planning and execution of Financial Crimes (BSA/AML, OFAC/sanctions, Anti-Bribery and Corruption (ABAC)) audits assess risks, develop detailed audit programs, identify data analytic opportunities, execute audit programs, analyze results of testing performed, and effectively communicate audit results to the Audit Senior Manager/Director and senior management in meetings, presentations, and/or written reports and memorandums. Additionally, the position will assist with planning and execution of interim and final validations of Financial Crimes-related regulatory issues. The position will support City National Bank's Internal Audit group in providing independent, objective assurance over the design and operating effectiveness of the Bank's risk management practices, governance processes, system of internal controls for Financial Crimes. Additionally, the position is responsible for maintaining and executing continuous monitoring program in accordance with audit methodology and taking into consideration industry development, emerging risks, and regulatory changes and expectations.

• Audit and Assurance General Requirements
  
  Plans, executes and evaluates audit test plans for business-as-usual (BAU) audits and regulatory validations
  
  Assesses risks and controls, designs comprehensive audit programs, executes audit procedures, supervises and reviews the work of others, analyzes and synthesizes results of testing performed, effectively communicates results to senior management to affect change, and delivers well written audit reports and other forms of communication.
  
  Supports Sr. Audit Managers and Audit Directors in execution of the audit and validation work, and collaborates with other audit groups to effectively plan, integrate and execute audits.
  
  Understands fraud, BSA/AML and general IT risks in order to identify and assess key control activities in business processes.
  
  Assists in compiling responses to regulatory inquiries
• Leads and executes continuous monitoring activities periodically for the area assigned. Gathers and evaluates information received from business units and other external/regulatory sources.
  
  Ability to multi-task and work in a dynamically changing environment.
  Complies fully with all Bank policies, procedures, audit methodologies, training and regulatory requirements.
• Data Analytics and Technology:
  
  Discover patterns, insights, trends and anomalies from straightforward analyses, data sets and visualization tools.
  
  Execute basic analyses (e.g. descriptive) and create simple visualization using standard tools.
• Relationship Building and Client Experience
  
  Supports the CNB Financial Crimes Audit Director proactively in their ongoing monitoring and discussions with business management.
  
  Continuously builds trusting relationships with Internal Audit peers and business management.
  
  Acts as a key contact and responds to inquiries from business throughout the audit process.
  
  Challenges others' thinking or approaches in a constructive manner.
  
  Advises stakeholders on internal control and governance matters and conducts proactive and ongoing risk management discussions with business leaders.
  
  Influences key stakeholders to gain buy-in, overcomes challenges and delivers on high priority initiatives, and draws conclusions or makes recommendations based on audit evidence that may involve ambiguity.
  
  Develop requests for advanced analytics by providing detailed and clear questions to the Data Analytics Lead or Data Scientist.
  
  Applies advanced analytical techniques to test hypotheses and add insights into audit findings.
  
  Understands concepts of data lineage and data stewardship in order to develop effective data analytics that provide the insights.
• Relationship Building and Client Experience
  
  Supports the CNB Financial Crimes Audit Director proactively in their ongoing monitoring and discussions with business management.
  
  Continuously builds trusting relationships with Internal Audit peers and business management.
  
  Acts as a key contact and responds to inquiries from business throughout the audit process.
  
  Challenges others' thinking or approaches in a constructive manner.
  
  Advises stakeholders on internal control and governance matters and conducts proactive and ongoing risk management discussions with business leaders.
  
  Influences key stakeholders to gain buy-in, overcomes challenges and delivers on high priority initiatives, and draws conclusions or makes recommendations based on audit evidence that may involve ambiguity.
• Staff Performance and Mentoring
  
  Acts as a role model/mentor to more junior auditors and provides constructive feedback.
  
  Enhances and maintains staff morale.
  
  Prepares and conducts formal/informal training for less experienced staff members. May participate in interviews and evaluations of new applicants.