The Lead Auditor – Financial Crime & Compliance is responsible for leading and delivering audits across financial crime and compliance domains, including AML, CTF, sanctions, fraud prevention, and customer due diligence (CDD/KYC/KYB), as well as key compliance-owned processes.
Key Responsibilities
Financial Crime & Compliance Audits
- Lead and deliver end-to-end audits across financial crime and compliance processes, including AML, CTF, sanctions, fraud prevention, and customer due diligence (CDD/KYC/KYB).
- Independently plan and execute audit engagements using a risk-based approach, covering both first and second line controls.
- Evaluate the design and operating effectiveness of financial crime frameworks in line with CBUAE regulations, internal policies and international best practices.
- Assess compliance-owned processes, including:
- Regulatory horizon scanning and emerging risk identification
- Regulatory change management and implementation tracking
- Compliance monitoring and testing programs
- Policy governance, review cycles and control oversight
- Management information (MI) and reporting to senior management and regulators
- Identify control gaps, thematic risks, and opportunities to strengthen financial crime prevention and compliance frameworks.
- Conduct deep-dive and thematic reviews across high-risk areas such as transaction monitoring, sanctions screening and customer risk profiling.
- Stay current on regulatory developments, enforcement actions, and emerging financial crime risks impacting the organization.
Forensic Reviews & Investigations
- Lead or support forensic reviews into suspected financial crime, fraud or control breaches.
- Analyze complex datasets and case information to identify suspicious patterns and potential control failures.
- Coordinate with compliance and risk functions while maintaining audit independence and objectivity.
Data Analytics & Continuous Monitoring
- Apply advanced data analytics to identify anomalies, control weaknesses and emerging risks across financial crime and compliance processes.
- Assess the use of data within compliance monitoring, including MI quality, completeness and timeliness.
- Support the development of continuous auditing and monitoring capabilities across financial crime and compliance areas.
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