In this role, the VP is expected to:

- Define the scope of and execute assurance work over audits regionally /globally, as required.

- Stay actively engaged in all phases of assigned audits, from audit planning through testing, completing and reviewing work-papers, producing draft reports, and monitoring budgets and deadlines.

- Develop and implement data analytics and automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing.

- Ensure all audit work is executed in accordance with Departmental Audit Methodology and documentation standards.

- Ensure that each audit is completed within budget (time and effort) through active engagement with other auditors and stakeholders.

- Monitor issue remediation status and verify that issues are remediated prior to closure.

- Carry out special projects, ad hoc investigations and advisory work where required

- Keep the Americas L&C RPD up to date on all key findings and emerging issues.

- Work closely with global counterparts, assist in risk assessing the Audit Entities under his/her specific responsibility.

- Remain current on any changes to the risk profile through continuously monitoring the assigned area of responsibility and establishing close contact with key L&C stakeholders.

- Evaluate any changes in the risk profile of the departments which might result in a change in the audit plan, risk assessments

Mind Set:

Prior experience in the audit of L&C functions in a major Investment Bank. 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/Master'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.