Apply risk-based audit methodology, professional auditing standards, sampling techniques, and testing approaches throughout engagements.
Develop audit programs, risk and control matrices (RCMs), process narratives, testing strategies, and test scripts.
Prepare comprehensive, well-supported workpapers that clearly document testing performed, evidence reviewed, results, and conclusions.
Assess control design and operating effectiveness related to AML and Financial Crimes risks.
Identify control weaknesses, regulatory risks, and process gaps and provide practical recommendations for improvement.
Draft clear, concise audit observations and reports, including root cause analysis and corrective action recommendations.
Present results to senior stakeholders and effectively challenge management responses when appropriate.
Perform issue validation and remediation testing related to audit findings, MRAs, consent orders, and regulatory actions.
Partner with Compliance, Risk Management, Financial Crimes, Operations, Technology, and Internal Audit stakeholders.
Review junior team members' work and provide coaching to ensure quality and consistency.
Required Qualifications
Bachelor's degree in Accounting, Finance, Business, or a related field.
7+ years of Internal Audit experience within a large financial institution, global bank, or consulting firm.
5+ years of direct AML Internal Audit experience.
Demonstrated experience independently leading risk-based audits from planning through reporting and issue validation.
Strong knowledge of Internal Audit methodology, workpaper standards, audit documentation requirements, sampling methodologies, and quality assurance expectations.
Hands-on experience developing audit programs, RCMs, test scripts, workpapers, control assessments, findings, and final reports.
Deep knowledge of BSA/AML regulations, OFAC and sanctions requirements, and financial crimes controls.
Experience evaluating control design and operating effectiveness and supporting conclusions with sufficient and appropriate evidence.
Strong project management, stakeholder management, written communication, and presentation skills.
Ability to manage multiple priorities in a fast-paced, highly regulated environment.
Preferred Qualifications
CIA, CAMS, CFCS, CPA, or other relevant certification.
Experience supporting regulatory remediation programs, consent orders, MRAs, and issue validation activities.
Experience with audit management tools such as TeamMate, Archer, or similar platforms.
Familiarity with AML technologies including Actimize, Verafin, SAS AML, Oracle FCCM, or comparable solutions.
Ideal Candidate
The ideal candidate is a hands-on AML Internal Audit professional who understands how to execute a risk-based audit from start to finish. This individual can translate risk into audit scope, develop effective audit programs, assess controls, perform and document testing, prepare defensible workpapers, identify meaningful issues, and deliver high-quality reporting that meets Internal Audit, regulatory, and client expectations. Experience supporting large global banking organizations and regulatory remediation initiatives is highly preferred.
At RSM, we offer a competitive benefits and compensation package for all our people. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.
We believe flexibility and in-person connection both play an important role in how we work and grow. Most roles at RSM follow a hybrid workstyle, which means team members are aligned to an RSM office and come together in person when it best supports clients, teams, development or relationship-building. Some roles may be virtual or primarily on-site based on role requirements, team priorities and client needs.
All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at careers@rsmus.com.
RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.
RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information.
At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.
Compensation Range: $54 - $80 per hour
