Description: We are seeking a talented professional to join our clients Internal Audit team (3rd Line of Defense), focusing on Financial Crime Compliance (FCC).

Key Responsibilities:

- Conduct independent audits across AML, Sanctions, KYC, and Transaction Monitoring areas

- Evaluate design and effectiveness of FCC controls and frameworks

- Partner with stakeholders to ensure compliance with global regulatory expectations

Key Requirements:

- Proven experience in Internal Audit within the FCC domain (3LoD)

- Professional qualification CA / CIA / CISA / CAMS preferred

- Exposure to global banking environments or Big 4 audit teams

Location: Bangalore

Designation: AVP FCC Audit

Function: Internal Audit Financial Crimes (Americas)

Reports to: Director, Internal Audit

Supervisory Responsibility: No

Position Summary:

The Assistant Vice President role within the Americas Financial Crimes Internal Audit function is responsible for executing independent, objective assurance and consulting activities designed to assess and evaluate the effectiveness of the Bank's governance, risk management, and control processes. This role includes the end-to-end execution of assigned Financial Crimes audits (e.g., planning, fieldwork testing, reporting, and issues validation) and independently owning audit administration activities and project deliverables across the organization.

Roles and Responsibilities:

Audit Execution & Methodology:

- Assist in conducting and supporting Americas financial crimes internal audits by evaluating the operating effectiveness of existing financial crimes compliance programs, including the design and implementation of relevant controls.

- Maintain compliance with internal audit methodology while operating within industry best practices, applicable regulations, and professional standards.

- Properly validate remediated issues in accordance with the internal audit methodology.

- Identify potential risks and controls and assist in developing audit scope and work programs.

- Evaluate the design and operational effectiveness of internal controls and identify control weaknesses.

Stakeholder Engagement & Communication:

- Lead walkthrough meetings and interviews with business stakeholders to develop an understanding of business processes.

- Lead formal discussions with business stakeholders throughout audit engagements to communicate status, findings, and concerns.

- Generate insightful, meaningful observations that convey significance and impact on risk and risk management practices.

- Report findings and audit issues to Audit Management and business stakeholders as appropriate.

- Exhibit effective communication (both verbal and written), negotiation, and presentation skills to engage with all levels of internal audit and business line management.

Documentation & Reporting:

- Prepare workpapers and audit reports with documented results that adhere to methodology and regulatory requirements, using appropriate business and technical language.

- Document workpapers in a manner that is clear, concise, and enables re-performance, demonstrating that the work was appropriately performed.

- Complete work on a timely basis and deliver work products that meet objectives and standards.

Professional Conduct & Development:

- Act as a leader and role model, demonstrating a high standard of performance and professional conduct.

- Build relationships with peers and clients, fostering a culture of integrity and inclusion where all choices are rooted in good judgment.

- Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality, and value.

- Demonstrate professional skepticism, personal accountability, and critical thinking.
- Continuously improve self and the department.

Job Requirements:

Education and Licensure:

- A bachelors degree, preferably in Accounting, Finance, Business Administration, Criminal Justice, or a related business discipline.

- Professional certifications such as Chartered Accountant, Certified Anti-Money Laundering Specialist (CAMS), or Certified Internal Auditor (CIA) are preferred.

- An advanced degree (e.g., Masters) is encouraged.

Skills and Experience:

- A minimum of 6+ years of internal audit, external audit, risk management, or equivalent experience within the financial services industry.

- A minimum of 3+ years of direct financial crimes (BSA/AML/OFAC) compliance audit experience.

- Experience interacting with financial industry regulators (e.g., OCC, FRB, SEC, FINRA) and responding to regulatory requests.

- Expert understanding of financial crimes risks, including Bank Secrecy Act/Anti-Money Laundering (BSA/AML), Know Your Customer (KYC), and Sanctions regulations.

- Proficient understanding of the internal audit process, including risk assessment, audit methodology, and execution.

- Strong analytical, problem-solving, and critical thinking skills to identify pragmatic recommendations.

- Proficiency in relevant technology, including MS Office and audit data analytics tools.

- Highly motivated with the ability to multitask and remain organized in a fast-paced environment.

- Team-oriented with a strong sense of ownership and accountability.

Pro

Follow Up

Didn’t find the job appropriate? Report this Job

Posted By

Romi Shukla

Consultant at Black Turtle India Pvt Ltd

Last Active: 21 November 2025