AML Audit
Core
Conduct specialized Anti-Money Laundering audits within a broker-dealer environment to assess the effectiveness of financial crime controls.
Role type
Senior internal audit professional (Financial Crimes Compliance)
Builds
Audit reports and compliance assessments for broker-dealer operations
Domain
Financial services / Broker-dealer / Regulatory Compliance
Deliverable
client delivery
Required skills
BSA/AML knowledge, fraud risk assessment, sanctions compliance, internal audit methodology, risk-based auditing, regulatory requirements analysis
Preferred skills
None stated
Technologies
None stated
Responsibilities
Plan, perform, and execute AML audits; Evaluate financial crime controls; Assess design and effectiveness of controls; Identify and evaluate compliance risks; Conduct audit activities with a risk-based approach
Seniority
Senior, hands-on IC
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