Senior Lead Auditor - AML/BSA

POSITION OVERVIEW 

The Risk Review Group (Internal Audit) is the third line of defense. The Risk Review Group (RRG) is accountable to the KeyCorp Audit Committee and is responsible for providing an independent and objective perspective on KeyCorp's processes and risks through assessment and testing of the adequacy and effectiveness of Key's risk management policies and practices, while also ensuring adherence to applicable laws and regulations. This is accomplished through completion of an Annual Audit Plan, which includes both risk evaluations and risk reviews (internal audits).   

The Senior Lead Auditor will be responsible for the coordination and completion of the three phases of a risk review:  Planning, Fieldwork and Reporting. This will include completion of walkthroughs, interacting with line of business personnel, performing and documenting testing of internal controls, ensuring adherence to required laws and regulations, drafting of findings, reporting deliverables, as well as identifying risks and controls associated with the various business functions. During the course of a risk review, the Senior Lead Auditor will be asked to serve as the lead on complex reviews, manage assigned staff and provide feedback where applicable. The Senior Lead Auditor may also participate on ad-hoc projects, ongoing risk intelligence activities and risk review related trainings. 

The AML/BSA team provides comprehensive compliance internal audit services to lines of business identified with having a Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and Office of Foreign Assets Control (OFAC) risk present. The AML/BSA Team is responsible for independently testing and evaluating the overall adequacy and effectiveness of Key’s Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and Office of Foreign Assets Control (OFAC) compliance programs. 

JOB REQUIREMENTS 

• Demonstrate intermediate knowledge of audit concepts with a solid understanding of audit concepts within internal audit including documentation of testing, audit findings and audit reports. 

• Performing regulatory research to understand the relevant compliance risks associated with the audit. 

• Participating in risk intelligence activities to identify emerging risks, trends, regulatory changes, and other items of potential impact with respect to the annual audit plan. 

• Consistently demonstrate intermediate business writing skills and cohesively present information effectively to others.  

• Prioritize and execute multiple assignments; identifies obstacles within the scope of assignments; proactively communicate delays in assigned deliverables or additional capacity availability; effectively delegate work when necessary. 

• Exhibit intermediate leadership skills by leading or providing oversight on stand-alone and integrated reviews or ad-hoc projects while managing staff and deliver feedback on performance. 

• Identify opportunities for continuous improvement and implementation of strategies to drive team and/or division change; demonstrate ability to draw insight from risk intelligence and regulatory bulletins.

• Deliver communication of audit findings and other audit matters to senior management.

• Develop relationships with clients; thoughtfully engage in networking with members of your team, within the RRG and across Key, to build lasting relationships.

• Exhibit an intermediate understanding of product skills and business, industry and BSA/AML/OFAC regulatory concepts.

• Demonstrate the ability to perform in an organizational culture of respect and personal accountability regarding Diversity, Equity and Inclusion. 

QUALIFICATIONS 

Bachelor’s Degree – preferred 

Master’s Degree – preferred 

4-6 years of audit or related experience 

Relevant professional certification – preferred  

RELEVANT CERTIFICATIONS 

Certified Anti-Money Laundering Specialist (CAMS) 

Certified Risk and Compliance Management Professional (CRCMP) 

Certified Public Accountant (CPA) 

Certified Internal Auditor (CIA) 

Certified Fraud Examiner (CFE) 

Certified Financial Crimes Specialist (CFCS) 

ADDITIONAL INFORMATION 

All KeyBank employees are expected to demonstrate Key’s Values and sustain proficiency in identified Leadership Competencies. 

Key has implemented a role-based Mobile by Design approach to our employee workspaces, dedicating space to those whose roles require specific workspaces, while providing flexible options for roles which are less dependent on assigned workspaces and can be performed effectively in a mobile environment. As a result, this role may be mobile or home based, which means you may work either at a home office or in a Key facility to perform your job duties.