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AML Compliance Auditor

Location: New York, New York 10016
Posted:Wed, October 02, 2019
Salary:Up to US$0.0 per hour
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Reporting to the Audit Manager, the Auditors primary responsibility is to participate in audits of the Corporate Finance business, and in accordance with audit methodology, to evaluate the adequacy and effectiveness of internal controls relating to risks within those business areas.
The successful candidate will proactively develop and maintain professional consultative working relationships with management and staff within Corporate Finance to gain a better understanding of the business, key developments and risk drivers to support the continuous audit assessment and dynamic audit planning processes.

Key Responsibilities:

  • Lead and/or execute audit engagements including risk assessments, audit planning, audit testing, control evaluation, audit report drafting and follow-up and verification of issue closure.
  • Plan audit engagements, identify inherent risks and control objectives, and draft the audit deliverables defined in the audit methodology. Assist in the design of the Audit Universe
  • Draft Audit Reports and other written communications, including the review and editing of team members writing
  • Coordinate and participate in client closing meetings
  • Conduct detailed audit work paper reviews
  • Executes audit fieldwork in line with the agreed audit approach e.g. documenting Activity Flows, identification of key risks and testing of key controls to determine whether they are properly designed and are operating effectively and documenting work
  • Completes all assigned work in line with agreed budgets, including ad hoc projects and special investigations
  • Proactively develops and maintains professional working relationships with colleagues, the business and respective support areas
  • Partners with other audit teams such as Credit, Finance and Group Technology & Operations during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits of Corporate Finance and associated support functions


  • Bachelor's Degree in Finance, Accounting or Business Administration preferred
  • Five or more years of internal or external audit or risk management experience
  • Financial industry, related markets and related regulatory bodies experience
  • Financial crimes (BSA/AML/OFAC) compliance audit experience
  • CAMS certification preferred
  • Experience working with the financial industry regulators, including OCC, FRB, and FINRA and responding to regulatory requests

At Experis Finance (, we've built a reputation for results-driven, innovative workforce solutions that help companies create competitive advantage. From basic to complex, we custom tailor our services to fit our client's needs from interim and permanent professional talent resourcing to complete project solutions in the areas of risk advisory, tax and finance & accounting. Our professionals provide specialized industry and technical experience and expertise to our clients, enabling them to accelerate their business performance. We serve clients, including Fortune 500 and Global 1000 companies, from offices worldwide leveraging the workforce capabilities of the ManpowerGroup.

Experis is an Equal Opportunity Employer (EOE/AA)

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