Senior Auditor (US) - Financial Crimes - Fraud & Insider Risk

About the role

This Senior Auditor role is responsible for executing audits within an assigned business area, potentially specializing in areas such as credit, retail, operational, platforms and technology, or other functions. The position involves providing audit expertise, executing audit processes independently or as part of a team, and offering guidance to supported functions. The role requires sound audit or business conceptual knowledge, discretion in handling confidential information, and the ability to work both independently and collaboratively.

Responsibilities

• Conducts audit work based on established audit plans and executes audits in accordance with established standards to ensure completion.
• Executes testing of controls, including walkthroughs (documentation), test scripts (development and execution), and issue identification.
• Coordinates communication with stakeholders throughout the audit process.
• Supports the review of internal controls and shares findings and suggestions with stakeholders and audit leadership.
• Executes follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy.
• Provides input to audit projects or initiatives as a representative for the area of specialization.
• Adheres to internal policies, procedures, enterprise frameworks, and regulatory guidelines.
• Contributes to the review of internal processes and activities, identifying control weaknesses or failures and potential opportunities to improve operational efficiencies.
• Develops and provides complex reporting, analysis, and assessments at the functional or enterprise level.
• Prioritizes and manages workload to deliver quality results and meet assigned timelines.
• Keeps current on emerging trends and developments, growing knowledge of the business, analytical tools, and techniques.
• Assists in preparing and sharing audit findings and presentation materials with management and broader audiences.
• Assesses and identifies key issues, escalating to appropriate levels and stakeholders where required.
• Contributes to the analysis, due diligence, and implementation of initiatives within the defined area of responsibility.
• Continuously enhances knowledge and expertise in the assigned area.
• Supports a positive work environment that promotes service to the business, quality, innovation, and teamwork.
• Identifies and recommends opportunities to enhance productivity, effectiveness, and operational efficiency.
• Establishes effective relationships across multiple businesses and participates in knowledge transfer within the team and business units.
• Works to achieve individual goals and supports other team members in the achievement of team goals and divisional objectives.

Requirements

• Undergraduate degree required.
• 3+ years of relevant experience.

Preferred Qualifications

• 3+ years of work experience in an audit capacity or compliance testing/monitoring function.
• Banking industry audit experience with a preferred focus on Financial Crime, BSA/AML, Governance, Risk & Oversight Functions.
• Relevant professional certifications (e.g., CIA, CPA, CRMA, CAMS, CFE) or progress toward preferred certifications.
• Strong communication (written and verbal) skills to interact clearly and effectively in a fast-changing environment.
• Strong analytical and problem-solving skills.
• Ability to work independently and collaboratively in a team environment.
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint) and experience with risk management and audit tools.

Physical Requirements

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment – Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities and duties are considered essential functions for ADA purposes.