Qualis1 Inc. · 1 day ago
Regulatory Issue Verification – Internal Audit
NYC Metro Area
Contract
Onsite
Senior Level, Lead/Staff
10+ years expQualis1 Inc. is seeking a team of regulatory auditors with experience in audit closure verification testing and BSA/AML expertise. The role involves overseeing junior auditors and performing effectiveness testing related to regulatory issues.
Staffing & Recruiting
Hiring Manager
Ankit Prasad
Responsibilities
Oversee completion of closure verification testing of junior auditors performing design and operational effectiveness testing of Fed/OCC issue remediation actions
Perform design and operational effectiveness testing of Fed/OCC issue remediation actions
Interact with management action owners
Assess documentation of action plan completion
Select and test operational instances of new and enhanced controls supporting action plan completion
Qualification
Required
10+ years in Regulatory audit for large U.S. banks (JPM, Morgan Stanley, Citi, etc.) or International Financial Institutions (HSBC, Barclays, UBS, DB, etc.)
Experience performing audit closure verification testing
BSA/AML subject matter expertise
Knowledge of BSA/AML controls including suspicious activity monitoring and reporting, and customer due diligence (onboarding, customer risk ranking, enhanced due diligence (EDD))
Advanced understanding of audit issue verification techniques
Experience with US regulatory expectations
Advanced understanding of suspicious activity monitoring controls (i.e. automated monitoring and case management systems; AML risk typologies; transaction alert creation and disposition; financial crimes investigations; SAR reporting; policies and procedures; program governance)
Advanced understanding of customer due diligence (i.e. customer onboarding workflows; customer risk assessments; CIP/CDD/EDD regulatory and industry expectations; periodic reviews; ongoing customer activity reviews; policies and procedures; program governance)
Company
Qualis1 Inc.
At Qualis1 Inc., our robust business model is strategically built upon serving diverse industry sectors, including Finance, Health Care, Education, State Government, and Manufacturing.
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase