Director | Audit | Compliance and AML EMEA | Investment Banking
Director | Audit | Compliance and AML EMEA | Investment Banking
My client, a leading Global Investment Bank are currently seeking a director level Audit professional to provide the internal audit organisation with regional management and leadership over risk based auditing and reporting methodologies.
This positions reports directly into the Chief Auditor of Global Compliance and is responsible for the management of audit delivery for AML/BSA compliance and regulatory compliance audits covering institutional clients, consumer businesses, and the Compliance Unit, AML operations and control functions in the EMEA region.
Job Responsibilities:
*Lead a team of audit professionals to deliver valued and timely independent assurance to the board and executive management on the control design and operating effectiveness of the Compliance and AML control environment.
*Deliver on the end to end audit approach globally for aspects of Compliance and AML activities to ensure adherence to legislation and regulation covering authorised business activities in the various jurisdictions in which they operate, working closely and collegially within IA and with line management and control functions to ensure efficient and effective provision of independent audit assurance.
*Fully support and work closely and collaboratively with Internal Audit colleagues charged with responsibility for other audit and reporting responsibilities, including, but not limited to, EMEA Regional CEOs and their management teams, Chief Country Officers and their management teams, Subsidiary Boards and their sub Committees, including Audit Committees and other executive management governance, as well as reporting to regulators.
Essential experience
*Highly experienced with diversified financial management experience, including experience in audit. Significant experience in progressive regulatory compliance, audit/exam experience within the financial services industry is required.
*Specific subject matter expertise regarding anti-money laundering and compliance regulatory requirements and controls in a global financial services organization.
*Proficient in risk and control analysis and audit concepts for a full range of products and specialised areas. Skilled at analysing root causes of problems and working with management to identify adequate solutions. Related certifications (CAMS, CFE, MBA, CIA) are a plus.
*Proficient in auditing and validating models, including the requirements of key regulators with a strong working knowledge of audit/risk assessment techniques and principles using a risk based methodology.
*Demonstrated experience in managing teams across multiple countries and managing integrated internal audit and assurance delivery within a matrix reporting environment.
*Significant experience in dealing with regulatory issues, and with regulators, from a number of jurisdictions, covering a wide range of financial services products. Also, experience in governance and control reporting to boards and board committees is required.
*Demonstrated integrity and sound judgment, and an ability to negotiate effectively to balance interests appropriately across multiple constituencies.
*Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views. This individual must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style.
If you feel that you have the relevant skills and experience and would like to be considered, please contact me with an up to date CV and if suitable I will contact to discuss.
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