BSA/AML Regulatory Auditor

Job#: 3021360 Job Description: Role: Fenergo CLM Consultant (Configuration & Techno-Functional) Overview We're seeking a hands-on Fenergo CLM Consultant to lead configuration and delivery within a large, enterprise-scale Client Lifecycle Management (CLM) transformation. You will translate complex onboarding, KYC/AML, and regulatory requirements into configurable workflows, rules, UI models, and integrations on the Fenergo platform. This role is onsite/hybrid for deep collaboration with product

Role- Internal Auditor Location- Midtown,NY/Baltimore,MD(Hybrid) Type-Contract Wealth Management Internal Audit role focused on Regulatory Reporting business requires a candidate to act as the "third line of defense," independently assessing the firm''s internal control structure. For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules, particularly regarding trade reporting and employee equity compensation. Core Responsibilities Audit Lifecycle Managemen

Wealth Management Internal Auditrole focused onRegulatory Reporting businessrequires a candidate to act as the "third line of defense," independently assessing the firm''s internal control structure. For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules, particularly regarding trade reporting and employee equity compensation. Core Responsibilities Audit Lifecycle Management:Lead and execute audits across planning, scoping, testing operational design eff

v Duties and Responsibilities 1.Assist in managing the Compliance Programs, including staying abreast of changes in the regulatory environment, enhancing the Compliance Programs to address changing needs, and increasing efficiencies as appropriate. 2.Develop and update the AML/OFAC and Corporate Compliance Risk Assessments to evaluate the inherent risks, controls, and residual risks in the Compliance Programs, identify any potential gaps in the Programs, and determine compliance test and policie