Overview

SME Financial Crime Audit Within UK Corporate and Investment Bank in London working projects in EMEA. Financial Crime Internal Audit Manager - Project and Continuous Monitoring lead - EMEA. Role Summary: This role exists to deliver an independent view and assurance over the control environment in operation in EMEA business entities, Branches, and other subsidiaries in the EMEA Region. It undertakes and manages audits across a range of activities and supports teams of auditors to deliver in-depth testing and review to support audit opinions. It contributes part of the Audit opinion provided to the EMEA Region Management and Group Audit Committee.ADIA is responsible for the delivery of around 90 internal audit reports per year across the EMEA region. Due to the nature of each business and the audit cycle, the number of audits each Audit Manager is responsible for can vary from year to year. On average, an Audit Manager would be responsible for the delivery of around 6–8 audits per year, and contribute to other audit assignments through delivery of fieldwork for other Audit Managers.Responsibilities

This may include technically complex and highly regulated areas, large assignments, including theme audits across more than one jurisdiction/ business. These are scheduled so that some will overlap so that two assignments may be open at the same time; closing one and planning another, an Audit Manager will be able to manage both successfully.Manage the delivery and provide support for multiple audit assignments / assurance / project work within AML/Financial Crime and/or Compliance business areas.Provide expertise on general compliance topics (including conduct risk, market abuse regulation, monitoring and surveillance, control room activities) and/or in AML /Financial Crime to the wider EMEA audit team.Comment on key areas of risk for those business areas and maintain relationships with Central Compliance Group and/or Financial Crime Group Senior Management (D, ED level).Operate with a deep understanding of UK/EMEA Compliance and Conduct Regulations, as well as AML/Financial Crime prevention regulations.Comment on risk areas, provide advisory support, and deliver testing that supports audit opinions.Prepare and review planning material to ensure internal controls covering key risks are tested to provide reasonable assurance to the Board, Group Management, Entity Management and other stakeholders, including regulators.Oversee the work performed for the audit assignment by other team members and provide guidance as necessary.Direct testing to cover key risk areas, determine scope and focus in agreement with the Audit Partner, and share expertise with other team members.Prepare draft Audit Findings and ensure they are factually accurate and clearly communicated to AD Management and business Management, including senior stakeholders.Prepare the final internal audit report, communicate areas of positive assurance and areas for improvement, and undertake follow-up and closure of internal audit recommendations.Validate action taken by line Management for closing High and Moderate Priority Findings and provide guidance to Management. Contribute to Audit Department initiatives and work across EMEA. Maintain relationships with Senior Management in nominated areas and comment on risk for those areas.Qualifications

Educated to degree standards and holder of a professional qualification (usually CIA, ACCA, etc.) with a strong understanding of the regulatory environment.Desirable: Compliance / AML / Financial crime qualification (ICA Diploma or equivalent, ACAMs, CISI).Ability to effectively and clearly communicate with management both verbally and in writing.Operational knowledge of aspects of the Bank to identify control weaknesses and advise on best practice / process improvements.Clear understanding of the risk and internal control environment relevant to the business being audited; attention to detail.Proactiveness and resilience with a track record of completing projects and initiatives in a timely manner; ability to advise on possible control solutions.Previous internal audit experience is desirable.Competencies

Customer Focus • Driving Change • Driving Results • Embraces Diversity • Leadership Judgment and Decision-Making • Risk Management • Strategic and Visionary • Trust and IntegrityBenefits

We offer competitive company benefits, centered around promoting positive well-being and work-life balance. We foster a diverse and inclusive work environment with hybrid working, sport and social clubs, and networks. Benefits include hybrid and flexible working, paid leave, private medical and life/invalidity insurance, mental wellbeing support, learning and development opportunities, career progression opportunities, and an ambitious remuneration package.

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