Financial Crimes Audit Team Lead

IN0534 Fishers, NY0705 NY Region Business Office, OH0523 Independence Bus Office, OH0713 NW Bancshares HQ, PA0258 Bellevue, PA0736 Administration CenterJob DescriptionOverviewThe Financial Crimes Audit Team Lead plays a critical role in supporting the organization's audit function by ensuring effective oversight of financial crimes-related risks. The Team Lead ensures that financial crimes key risks, regulatory expectations, and critical policies are identified and incorporated into audit engagements. Key responsibilities include: Risk Identification and Planning: Collaborate with Audit Management to develop audit scopes that address significant financial crimes risks and regulatory requirements. Audit Execution and Evidence Review: Perform detailed reviews of audit samples and validate compliance with established controls. Summarize findings and ensure conclusions are adequately supported. Reporting and Communication: Prepare clear, concise summaries of audit results and present findings to management. Provide recommendations for remediation and control enhancements where applicable. Engagement Oversight: Lead audit engagements from initiation through completion, including scoping, fieldwork, reporting, and follow-up activities to confirm timely resolution of identified issues. Issue Validation and Follow-Up: Conduct validation testing of previously identified issues to confirm that corrective actions have been implemented effectively and sustainably. Document validation results and communicate outcomes to management.This role requires strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements. The Financial Crimes Audit Team Lead ensures that audit activities provide meaningful insights into the organization's control environment and contribute to the ongoing enhancement of financial crimes compliance and risk management practices.Essential FunctionsDevelop scope, audit objectives, and program based on assessed risk of subject matterTimekeeping/updating schedule of whereabouts during auditsMeet departmental continuing education requirements and proactively seeking relevant education and training opportunitiesDetermine staffing requirements for AuditProduce plan for completing field workPlan audit approaches under the direction of the audit supervisorOversee/collect of specific samples/dataOversee/record detailed information/data from samplesEnsure document and data integrityCheck results (findings) against samples for proper evidenceOversee/compile working papers as appropriateSummarize results/findingsAnalyze results as related to NorthwestPrepare meeting materials (soft, and final exits)Present relevant findings appropriately to department manager and auditorsProduce various audit reports/management lettersPerform special reviews at the request of managementAppraise adequacy of the corrective action taken to improve deficient conditionsObtain and analyze evidence, ensure audit conclusions are well-documentedIdentify and communicate issues raised, recommend solutions relevant to business units and risk managementResearch and interpret relevance of specific regulations along with assessing document and data integrityDetermine required audits for relevant segment/special projectsEnsure compliance with Northwest's policies and procedures, and Federal/State regulationsNavigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiencyWork as part of a teamWork with on-site equipmentQualificationsBachelor's Degree Business, Accounting, Finance, Pre-Law, or other related field preferredCAMS Certifie

Created: 2026-02-23