Sr. Director, Compliance & Financial Crimes Audit

Senior Director, Financial Crimes and Compliance Audit 

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We’re seeking a future team member for the role of Senior Director, Financial Crimes and Compliance Audit to join our Global Financial Crimes & Compliance (GFC&C) Audit team. This role is located in New York.

Reporting to the Managing Director, Financial Crimes and Compliance Audit (GFC&C), is a senior member of the Internal Audit management team responsible for developing and executing a comprehensive, best in class global program of audit assurance focusing on Financial Crimes and Regulatory Compliance across businesses and regions.  

Role Overview

• Lead a large portfolio of businesses or a specialized audit group covering Financial Crimes Compliance (FCC), including BSA/AML Independent Testing, and Regulatory Compliance; set vision, priorities, and execution standards.
• Be directly accountable for the accuracy, clarity, and timeliness of information on risk management quality and internal controls delivered to Executive Management and the Board of Directors.
• Develop and maintain relationships with executive management, peer groups, external auditors, and regulators; represent the audit function credibly and constructively in senior forums.
• Ensure the quality and consistency of the group’s work and drive divisional initiatives, goals, and continuous improvement.
• Apply diverse experience across businesses, specialties, and geographies to bring objective judgment and a multi-faceted view of risk and control.

Audit Leadership and Execution

• Own end-to-end leadership of FCC and Regulatory Compliance audit coverage, including audit execution, issue validation, and regulatory issue validation as required.
• Be responsible for the quality of ongoing risk assessment; evaluated on decision-making quality, business/specialty knowledge, and sound judgment.
• Act as an agent to the Global Head of Financial Crimes and Compliance Audit, leading the management team in planning and mapping corporate-wide audit planning and strategy.
• Translate strategic direction into a robust Audit Universe, Risk Assessment, and Audit Plan that prioritizes high-value, high-risk areas across FCC, Regulatory Compliance, and broader audit portfolios.
• Manage assigned and limited resources to complete the Audit Plan with appropriate coverage of key risks; optimize delivery by leveraging technology, data, and cross-team capabilities.
• Maintain audit independence while providing constructive advisory input to enhance control effectiveness and operational efficiency.

Financial Crimes and Regulatory Compliance Oversight

• Lead FCC coverage including BSA/AML Independent Testing and associated regulatory compliance domains; ensure high-quality execution, clear issue origination, robust validation, and timely closure.
• Oversee testing strategies and continuous monitoring across AML, Sanctions, Fraud, Anti-Bribery/Corruption, and related compliance programs; challenge remediation plans and verify sustainable closure.
• Contribute to the annual compliance plan, resource prioritization, and transformation roadmap across FCC and Surveillance programs.
• Enhance reporting to compliance leadership and governance committees with KRIs/KCIs, thematic insights, root-cause analyses, and trend reporting across FCC and Surveillance.

Surveillance Program Leadership

• Lead global Surveillance Program initiatives covering Market Abuse/Trade Surveillance (e.g., insider dealing, market manipulation), E-Communication surveillance (email, chat/collaboration platforms), and Voice surveillance (recorded lines/telephony), including policy, standards, control design, and operating effectiveness.
• Drive end-to-end surveillance program enhancements: coverage and risk assessments, scenario design and tuning, lexicon/model calibration, threshold governance, QA frameworks, metric/KRI design, alert quality improvements, and sustainable remediation.
• Oversee second line testing, continuous monitoring, and issue validation for surveillance controls; identify meaningful issues i