AML Director of Quality Assurance Jobs in Charlotte at Mitsubishi UFJ Financial Group, Inc
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The Director, Quality Assurance & Improvement Program (QAIP) position is a leadership role within the Internal Audit for the Americas (IAA) function, reporting to the Head of QA. The position is responsible for assessing departmental conformance with the IAA standards and motivating change to improve processes, procedures, and quality throughout the audit department globally. The primary coverage area of the role will be Global Financial Crimes, including AML, Sanctions, and Bribery and Corruption.
Develop the annual quality assurance plan for Global Financial Crimes, implementing a risk-based approach to prioritize plan and scope
Lead a team of 4 in the execution of the quality assurance plan, performing reviews of planning processes, risk assessments, audit execution, and regulatory and audit issue validations
Develop QA testing programs designed to effectively assess the department’s conformance with IAA’s audit methodology and regulatory requirements, including challenging audit scope, execution, and conclusions
Draft quality assurance reports recommending and communicating improvement opportunities to the audit teams, the IAA Executive Leadership Team and CAE
Lead key QA projects and initiatives, ensuring that key milestones are tracked, measured, and achieved.
Anticipate emerging issues that impact IAA’s risk (practice) profile, Audit Methodology and Audit Practices.
Continuously improve audit practices and methodology based on knowledge of best practices, industry standards and regulations and present areas and opportunities for alignment
Maintain knowledge of and industry leading practices around audit quality assurance and improvement
Work with the Head of QA on projects and initiatives to drive strategy and strengthen audit quality both locally and globally
Actively monitor changes to BSA/AML regulatory requirements
Partner with the Training department to develop specific training topics based on the results of quality assurance observations
Anticipate emerging issues that impact the department’s risk (practice) profile
Minimum of ten years of relevant internal audit experience, including solid understanding of BSA/AML requirements (e.g., KYC, OFAC/Sanctions, Transaction Monitoring)
Strong knowledge of bank and branch operations
Experience with the financial services industry, related markets, and related regulatory agencies
Bachelors’ Degree at an accredited college or university
Professional certifications, such as the CAMS, CPA, or CIA are highly desirable
Strong understanding of audit practices and methodology
Job Title: AML Director of Quality Assurance
Company Name: Mitsubishi UFJ Financial Group, Inc
Experince: 11 – 15 years
Job Category: Finance & Insurance