AML Audit

Accountabilities:: Plan, perform, and execute AML audits within a broker-dealer environment. Apply expert knowledge of BSA/AML and fraud risks to evaluate relevant financial crime controls. Assess the design and effectiveness of controls applicable to broker-dealer operations. Apply a strong understanding of the broker-dealer business to identify and evaluate financial crime compliance risks. Demonstrate knowledge of financial crime compliance regulations and requirements, including BSA/AML and sanctions. Conduct audit activities with a thorough, risk-based approach and support the completion of assigned audit objectives within the project timeframe. Requirements: Bachelor’s degree or higher in accounting, finance, or a related field. 5+ years of relevant experience within banking or the broker-dealer industry. 5+ years of internal audit experience specifically focused on Financial Crimes Compliance. Strong knowledge of BSA/AML, fraud risks, and sanctions compliance. Demonstrated understanding of controls and regulatory requirements applicable to broker-dealer environments. Strong analytical, audit, risk assessment, and problem-solving skills. Ability to independently manage audit activities and deliver high-quality work within a defined project timeline. Must reside in the continental United States. Must be legally authorized to work in the United States now and in the future. Visa sponsorship is not available for this position. Benefits: Fully remote position within the continental United States. Project-based engagement expected to last approximately two months. Opportunity to apply specialized AML, financial crime compliance, and internal audit expertise within a broker-dealer environment. Exposure to BSA/AML, fraud, and sanctions-related compliance controls and regulatory requirements. Focused project scope suited to an experienced financial crime audit professional.