Assistant Vice President - Global Financial Crimes (Audit)

£55000 - £65000 per annum
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KANE PELGROM

Assistant Vice President, Audit Manager - Global Financial Crimes

MAIN PURPOSE OF THE ROLE

Financial Crimes Audit is one of the first areas to be globalised under a large transformation project. Reporting into the regional financial crime director in London, the AM will support risk assessment, annual planning and audit execution, in close collaboration with the MBE Internal Audit team and other colleagues across the globe.

This position is primarily responsible for completing high-quality audit work within assigned timeframes and budgets. This is generally the execution of assigned audits, including planning, fieldwork, reporting, and issue tracking and follow-up.

Covers staff responsible for independent, objective assurance and consulting activity designed to improve a firm's operations by evaluating and improving the effectiveness of risk management, control and governance processes. Special reviews may also be conducted as requested by senior management and incumbents may also be involved in strategic business reviews. Will also be responsible for liaising with the Technology, front office, risk and compliance functions. Day-to-day focus is on resolution of complex problems or transactions, where expertise is required to interpret against policies, guidelines or processes. Role at this level usually has full ownership for one or more processes, reports, procedures or products, and may also be considered analytical or procedural experts representing a unit or team on cross-function process or project deliverables.

KEY RESPONSIBILITIES

Run an efficient and effective program of audit work including aspects such as:

  • Lead interviews of process owners to develop understanding of business processes
  • Identify potential risks and controls specific to AML, Sanctions and ABC, and assist in developing scope and work programs
  • Evaluate internal controls design and effectiveness
  • Identify control weaknesses and suggest appropriate remediation
  • Document results using appropriate business and technical language in workpaper system
  • Report findings and client issues to management and engagement lead
  • Assist with workpaper review and report preparation
  • Complete work on a timely basis and with high quality workpapers in line with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
  • Build relationships with peers and clients within organisation Act as a leader and role model and continuously improve self and department.

Travel may be required for the position, with an estimated range of 10-20% varying on the location of the stakeholders and audit geographies.

WORK EXPERIENCE

  • Experience of working in an audit function within the Financial Services sector or providing consultancy services in the same sphere
  • Experience in coordination and integration efforts across multiple groups, preferably within enterprise-wide internal audit functions
  • Experience in IA risk assessment, audit methodology and execution
  • Experience leading or executing IA audit engagements supporting Financial Crimes (ABC/AML/Sanctions) compliance audits
  • Experience using data analytics tools to drive continuous risk monitoring and perform audits
  • Relevant audit industry qualifications e.g. ACAMs, ICA are desirable

SKILLS AND EXPERIENCE

  • Sound knowledge of auditing methods and industry practices
  • Sound knowledge of Financial Crimes Compliance including anti-money laundering, sanctions screening and anti-bribery and corruption processes and supporting systems
  • Possesses strong project management skills; exhibits initiative and intuitive thinking; and demonstrates ability to meet strict deadlines
  • Exhibits effective communication (both verbal and written), negotiation and presentation skills; strong interpersonal skills; and ability to engage with all levels of internal audit and business line management
  • Employs strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment
  • A bachelor’s degree in relevant discipline is desirable

PERSONAL REQUIREMENTS

  • Excellent communication skills
  • Strong sense of accountability
  • A proactive, motivated approach.
  • The ability to operate with urgency and prioritise work
  • Strong decision making skills, the ability to demonstrate sound judgement
  • A structured and logical approach to work
  • Strong problem solving skills
  • A creative and innovative approach to work
  • The ability to manage large workloads
  • Excellent attention to detail and accuracy
  • A calm approach, with the ability to perform well in a pressurised environment
  • Language skills are desirable (e.g. Japanese, Dutch, French, Italian, German, Arabic, Russian)
  • Strong numerical skills
  • Excellent Microsoft Office skills

McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

 

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