Global Financial Crimes Audit-Global Head

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 21 Oct 17 2017-10-21

Global Financial Crimes Audit-Global Head

The Global Head of Anti-Money Laundering (AML)/Bank Secrecy Action (BSA)/Sanctions Audit will be responsible for all aspects of the AML/BSA/OFAC and Anti-Corruption/Anti-Bribery Audit function based in New York. In addition, this role is responsible for coordinating AML related audit activity across the locations and business/functions to articulate the annual assessment of the firm's control environment and compliance with all applicable AML/BSA/OFAC rules and regulations. This position requires a seasoned manager with extensive banking knowledge and expertise. The role is balanced between day-to-day high level operational execution and development of the strategic direction of the relevant Infrastructure area.
This high visibility role reports to the Head of Compliance and Company Functions Audit and manages a high performing team of ten professionals in New York in addition to coordinating four professionals in London and Hong Kong. The role will develop and execute the AML/BSA/Sanctions Audit Program, ensuring appropriate coverage of issues in both product and country/legal entity aligned audits and coordinate all AML related audits across the businesses, functions and locations. You will work to continuously improve the program and processes throughout the team and wider audit group, and participate in various high profile special projects as required.
An excellent negotiator, you will be able to proactively and effectively communicate issues and make recommendations with all levels across the business. You will have previous senior-level internal audit experience gained within the financial services industry and in-depth knowledge and experience of relevant AML and KYC regulations and requirements.
The Global Head of AML Audit will:

  • develop the annual and multi-year audit plan for AML/BSA/Sanctions processes and continuously improve and enhance the department AML/BSA/Sanctions and ABC guidance
  • coordinate the program and review and advise department audit professionals
  • prepare quarterly and annual senior management and Board Of Directors reporting
  • manage a regional team of professionals and coordinate a global team of specialists.


This role requires strong communications and negotiating skills in addition:
• Ten to fifteen years of financial services experience with expertise in AML/BSA/Sanctions regulatory requirements and expectations.
• Extensive experience examining, auditing or supervising financial services regulatory activities, especially around AML/BSA/Sanctions and Anti-Bribery
• Strong technical understanding of the financial services regulatory environment and AML environment.
• Ability to multitask, manage or support team members on projects and thrive within a small-group environment.
• An undergraduate degree (B.A., B.S., or equivalent) with an M.B.A., J.D., or equivalent post graduate degree a plus.
• ACAMS, Certified Regulatory Compliance Manger (CRCM), Institute of Internal Auditors (IIA) certification a plus.