Supervisor - Risk Compliance Global Banks (AML/Audit)

RSM US LLP•New York, NY

9d•$85,100 - $161,700•Hybrid

About The Position

RSM is currently seeking a strong AML/CFT/Sanctions professional to join a fast-growing team focused on giving our clients critical assistance in developing and maintaining compliance with Anti-Money Laundering (AML) / Countering the Financing of Terrorism (CFT) and Sanctions regulations. As a Supervisor in RSM's Regulatory Compliance group, you will be a key participant in managing and delivering assessments and other services covering AML/CFT/Sanctions regulatory compliance for banks, broker dealers and other financial institutions. You will participate in the evaluation of the current state of the AML/CFT/Sanctions compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the AML/CFT/Sanctions Program. You will also participate in the development and implementation of AML policies and controls, and in the independent testing or audits of all aspects of the client’s AML/CFT/Sanctions Program, suggesting strategies and improvements for governance, monitoring, training and testing. Additionally, you will participate in the response to enforcement actions focusing on developing and executing a corrective action plan that results in a compliance program that is sustainable and consistent with regulatory expectations and industry standard practices. You will develop strong relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations. You will participate in engagements (including planning, execution, workpaper review, report preparation and final wrap up), conduct exit meetings, and assist in preparation of reporting and related risk assessment completion. You will communicate with clients on the review process, conclusions and potential improvements to the process. You will stay abreast of changes in industry regulations, and develop your own competency through continuing education and by obtaining additional professional certifications.

Requirements

Five+ years of experience in AML compliance, internal audit or other control-related function in a national consulting firm or in the financial services industry
Strong knowledge and expertise of AML/CFT/Sanctions risks, regulations, and typologies
Experience in the design and implementation of AML programs
Professional work experience in a regulatory body preferred
Good verbal/written communication, leadership, analytical and client service skills with the ability to present to other team members
Ability to exercise independence of judgement and autonomy
High ethical standards
Bachelor’s degree in a related field
Ability to travel
Strong organizational and time management skills

Nice To Haves

Prior experience working for a related regulator
Diversified experience covering two or more of the areas listed above
Staff management experience
Strong organizational and time management skills with ability to manage multiple priorities and projects
Experience in Compliance and/or Internal Audit at a financial institution
Relevant compliance, AML or audit certifications (e.g. CAMS, ACFE, CIA, etc.) preferred

Responsibilities

Manage and deliver assessments and other services covering AML/CFT/Sanctions regulatory compliance for banks, broker dealers and other financial institutions
Participate in the evaluation of the current state of the AML/CFT/Sanctions compliance program, identify any deficiencies to enhance controls, and leverage your knowledge to provide advice to strengthen the AML/CFT/Sanctions Program
Participate in the development and implementation of AML policies and controls
Participate in the independent testing or audits of all aspects of the client’s AML/CFT/Sanctions Program and suggest strategies and improvements for governance, monitoring, training and testing.
Participate in the response to enforcement actions focusing on developing and executing a corrective action plan that results in a compliance program that is sustainable and consistent with regulatory expectations and industry standard practices.
Develop strong relationships with existing clients and prospective clients within banking and financial services industries, providing timely, high quality client service that meets or exceeds expectations
Participate in engagements (including planning, execution, workpaper review, report preparation and final wrap up), conduct exit meetings, and assist in preparation of reporting and related risk assessment completion
Communicate with clients on the review process, conclusions and potential improvements to the process.
Stay abreast of changes in industry regulations, and develop own competency through continuing education and by obtaining additional professional certifications