- The candidate should have many of the skills and qualifications listed below:

- 10-15 years in Audit with significant focus in L&C ideally at an investment bank

- Expertise in multiple areas within L&C relevant to the audit portfolio (Market Abuse Surveillance, Conflicts Management, Compliance Advisory, AML/KYC, Sanctions, Anti-Bribery and Corruption (ABC), Conduct Risk Management, and Legal, including the use of Master Agreements).

- Expertise in understanding and assessing relevant Compliance, Financial Crime and Legal risks and controls, and a good understanding of the role of technology within L&C.

- Experience in designing and executing data analytics to improve audit efficiency.

- Good understanding of US market structure, and the regulatory compliance environment.

- Demonstrable knowledge of wholesale banking, broker dealer and swap dealer activities and related regulatory framework/regulations.

- Leadership skills and an ability to work across teams.

- Confident manner and well-developed communication (both verbal and written), influencing, interpersonal and project management skills.

- Ability to effectively discuss control issues with senior auditees.

- Ability to lead the development of risk-based audit plans under the audit methodology to assess the effectiveness of L&C functions.

- Strong analytical skills with the ability to identify key risks and formulate audit plans, with sound judgement on the criticality and impact of issues raised.

- Strong time and project management skills, consistently delivering to deadlines (budget and time).

- A bachelor's degree supported by work experience in Compliance and Legal or as an auditor in a financial services firm, consulting firm or Big 4 firm.

- Perform moderately complex BSA/AML audits including drafting audit reports, presenting issues to the business, and discussing practical solutions.

- Proficiency with BSA/AML regulatory requirements for investment / wholesale banking activities, products and services

- To provide advice and guidance on the design and operation of financial crime systems and controls, by which the Americas region mitigates financial crime risk.

- Additional Certifications like CAMS, CIA, CISI or equivalent.

- Regulatory Understanding for the following would also be beneficial

- Regional financial market regulations and licensing requirements

- HKMA & SFC regulatory framework and guidelines

- MAS requirements

EMEA:

- EU Financial Services regulations

- UK regulatory framework post-Brexit

- PRA/FCA requirements

- EU AML directives

- GDPR and data protection requirements

- MiFID II/MiFIR implementation

Understanding of Cross Border Knowledge specifically:

- Extra-territorial application of regulations

- Cross-border transaction requirements

- International sanctions regimes

- Global AML/CTF standards