Internal Auditor - AML / Financial Crime
NACBA, Wenatchee, WA, United States
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award‑winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Role
The Auditor is responsible for conducting and documenting routine audit examinations throughout Northern Trust Corporation. The role is a direct report to an Senior Manager, and is responsible for completing the audit in accordance with stated budget, timeframes, and Audit Methodology. The Auditor provides input to improve operational efficiency and/or to enhance the design or operating effectiveness of the internal control environment. The role also provides technical and auditing expertise, training, and coaching, to auditors during the audit engagement.
Major Duties
Functions in various roles on audit engagements, including leading audits, staffing audits, and providing consulting or oversight functions based on the needs of the team
Responsible for staying current on regulatory rules and changes within the industry
Manages and performs special projects as assigned
Participates in meetings with business unit to discuss audit results
Communicates with partners at all levels, developing and presenting recommendations on operations and controls for the business unit
Utilizes understanding of various Corporate units to ensure operations, services, and systems have proper audit controls in place (i.e., design of the control environment)
Evaluates corporate management, business processes, business controls and operating practices during audits and consulting/monitoring engagements
Applies analytical skills to review information and determine potential control weaknesses
Develops a thorough understanding of the Northern Trust Audit Methodology and adheres to all applicable Department Standards
Completes and compiles a high-quality summary of findings and recommendations for review in a concise and professional manner
Key Responsibilities
Plan, execute, and report on audits of the Northern Trust AML/Financial Crimes program in accordance with the annual audit plan
Evaluate the design and operating effectiveness of AML related controls including:
KYC - CDD/EDD
Transaction Monitoring
AML Risk Assessment
Training and governance
Sanctions and PEP screening
Knowledge
Strong knowledge of auditing within the financial services industry and/or financial crime frameworks
Professional certifications such as CAMS, CFE, CPA, CISA, CIA, ACA, ACCA and/or an MBA preferred, with demonstrated technical expertise in areas such as accounting, regulatory compliance, or risk management
Strong analytical and organisational skills to effectively plan, execute and deliver audits
Proven ability to produce high-quality audit reports and maintain clear, robust workpaper documentation
Effective written and verbal communication skills, with the ability to clearly articulate audit findings and recommendations
Experience
Relevant experience auditing within the financial services industry and/or working within a financial crime function
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com.
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Northern Trust, a Fortune 500 company, is a globally recognized, award‑winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Role
The Auditor is responsible for conducting and documenting routine audit examinations throughout Northern Trust Corporation. The role is a direct report to an Senior Manager, and is responsible for completing the audit in accordance with stated budget, timeframes, and Audit Methodology. The Auditor provides input to improve operational efficiency and/or to enhance the design or operating effectiveness of the internal control environment. The role also provides technical and auditing expertise, training, and coaching, to auditors during the audit engagement.
Major Duties
Functions in various roles on audit engagements, including leading audits, staffing audits, and providing consulting or oversight functions based on the needs of the team
Responsible for staying current on regulatory rules and changes within the industry
Manages and performs special projects as assigned
Participates in meetings with business unit to discuss audit results
Communicates with partners at all levels, developing and presenting recommendations on operations and controls for the business unit
Utilizes understanding of various Corporate units to ensure operations, services, and systems have proper audit controls in place (i.e., design of the control environment)
Evaluates corporate management, business processes, business controls and operating practices during audits and consulting/monitoring engagements
Applies analytical skills to review information and determine potential control weaknesses
Develops a thorough understanding of the Northern Trust Audit Methodology and adheres to all applicable Department Standards
Completes and compiles a high-quality summary of findings and recommendations for review in a concise and professional manner
Key Responsibilities
Plan, execute, and report on audits of the Northern Trust AML/Financial Crimes program in accordance with the annual audit plan
Evaluate the design and operating effectiveness of AML related controls including:
KYC - CDD/EDD
Transaction Monitoring
AML Risk Assessment
Training and governance
Sanctions and PEP screening
Knowledge
Strong knowledge of auditing within the financial services industry and/or financial crime frameworks
Professional certifications such as CAMS, CFE, CPA, CISA, CIA, ACA, ACCA and/or an MBA preferred, with demonstrated technical expertise in areas such as accounting, regulatory compliance, or risk management
Strong analytical and organisational skills to effectively plan, execute and deliver audits
Proven ability to produce high-quality audit reports and maintain clear, robust workpaper documentation
Effective written and verbal communication skills, with the ability to clearly articulate audit findings and recommendations
Experience
Relevant experience auditing within the financial services industry and/or working within a financial crime function
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com.
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