Financial Crime Audit Manager

Summary

Join Passthrough's Financial Crime Audit team as their first hire and help them revolutionize the AML onboarding process for investors, just as they did for the initial investment process. You will play a crucial role in ensuring compliance with SEC and FinCEN regulations. The team aims to make their customers love them and have their investors recommend their services. This position involves conducting audits, presenting findings to clients, developing risk matrices, managing the AML audit platform, and providing feedback to improve the platform. The ideal candidate will be a self-starter with prior anti-financial crime audit experience and a strong understanding of AML regulations.

Requirements

• Self-starter and self-motivated to hit deadlines without micromanagement
• Prior anti-financial crime audit experience with a regulated institution leading audit engagements
• Strong knowledge of the Bank Secrecy Act and Anti-Money Laundering Act of 2020, specifically how to test anti-financial crime risks
• Familiarity with due diligence screening tools (i.e., ComplyAdvantage, LexisNexis, etc.)

Responsibilities

• Conduct design and operating effectiveness audits on our clients that require annual independent testing
• Presenting findings and observations to client senior management or areas of improvement
• Develop financial crime risk and control matrices to cover the Investment Adviser AML and CFT rule
• Manage Passthrough’s AML audit platform
• Ability to articulate complex investment strategies and financial crime risk
• Provide feedback to management and engineering to help improve Passthrough for internal and external users

Preferred Qualifications

• Certified Anti-Money Laundering Specialist certification, preferably with the CAMS-Audit designation
• Expertise in providing management action plans for applicable audit findings and observations discovered during audits

Benefits

• Competitive salary - $140,000 - $150,000 per year
• Remote work
• Passthrough stock options
• Health, dental, and vision insurance
• Annual health & wellness stipend
• 401k contribution program with matching
• Life insurance
• PTO & unlimited sick leave
• Parental leave