Senior Specialist, Process Audit
On-siteLake Mary, Florida, United States
Job Summary
Drive end-to-end program coverage for Financial Crimes and Compliance engagements, including coverage and risk assessments, scenario design, lexicon calibration, threshold governance, and metric design. Review second line testing, continuous monitoring, and issue validation for surveillance controls; identify meaningful issues impacting business processes and challenge remediation plans to verify closure. Partner with technology and model owners on financial crimes platform governance, covering use-cases, data lineage, thresholds, model risk considerations, back-testing, and documentation. Contribute to the annual compliance plan, resource prioritization, and transformation roadmap across AML, Sanctions, Fraud, Anti-Bribery, and Surveillance. Maintain up-to-date knowledge of industry best practices and evolving supervisory expectations, cascade training and guidance across regions and teams. Carry out other ad hoc tasks and projects as directed by senior management.
Required Qualifications
- 5 + years in banking/financial services, leading risk-based audits, thematic reviews, and global remediation programs across the U.S. and Europe; proven ability to embed data-driven testing and AI‐assisted controls to strengthen assurance, coverage, and issue validation
- Audit and compliance experience across Financial Crime (AML, Anti-Bribery & Corruption, Fraud) with a focus on assessing surveillance systems
- Cross-border execution in EMEA and U.S., including aligning audit plans and compliance controls to regional regulatory expectations; adept at harmonizing analytics use cases, data protection requirements, and AI documentation standards to support defendable audit findings and regulatory interactions
- Regulatory knowledge: U.S. frameworks (BSA, USA PATRIOT Act, FCA, OFAC, SEC/FINRA rules, FRB, OCC/CFPB, NFA/CFTC)
- Practical expertise in surveillance and control testing: AML and economic sanctions scenario development, model calibration and threshold governance, alert QA, false positive reduction, coverage mapping, data quality controls, audit‐readiness documentation, and runbook management; complemented by audit validation of models (feature engineering reviews, drift monitoring, performance thresholds, and explainability testing)
- Strong communication and teamwork skills
- Strong knowledge at translating complex analytics/AI outcomes into clear, risk‐based audit narratives, issue papers, and management action plans with measurable control improvements
- Deep understanding of governance, risk, and control frameworks across the three lines of defense; hands‐on experience with audit methodologies, continuous monitoring, and issue validation—integrating analytics/AI controls (data lineage, model inventory and approvals, human‐in‐the‐loop oversight, and ongoing performance monitoring) to enhance assurance quality
- Self‐starter with a high degree of ownership; thrives in fast‐paced environments; experienced in accelerating analytics adoption within audit/compliance through targeted pilots, agile delivery, and disciplined benefits tracking tied to reduced residual risk and improved control effectiveness
- Excellent planning, coordination, organization, and presentation skills; skilled at building audit analytics roadmaps, prioritizing high‐risk areas, and delivering executive dashboards that clarify findings, control gaps, and remediation progress
- Microsoft 365 (Excel – advanced, PowerPoint, Word; Visio a plus)
- data/analytics tools such as Alteryx
- strong proficiency in Python and SQL for audit analytics, control testing automation, and evidence generation
- experience with BI/visualization platforms (Tableau, Power BI), big‐data/ML ecosystems (Databricks, Spark), and familiarity with AI‐enabled surveillance/case management platforms
- working knowledge of MLOps relevant to audit (versioning, change controls, monitoring, and drift management)
- Bachelor's degree in finance or related field
- CFIRS and CFE (required or strongly preferred)
- CAMS and CIA, considered beneficial
- data/analytics/AI credentials (e.g., Python, Tableau/Power BI, cloud/Databricks, or ML governance training) are a plus
Desired Qualifications
- Master in Compliance (preferred)
- supplemental coursework in audit analytics, statistics, and data privacy beneficial
- Experience directing 1LoD/2LoD testing in Corporate & Investment Bank BSA/AML programs
- Prior engagement with FRB examiners, bank monitors, and global regulatory stakeholders
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