Senior Associate, Financial Crimes Audit & Validation Testing

Position Summary We are seeking a Senior Associate-level Financial Crimes Audit, Issue Validation, and AML Surveillance Testing Consultant to support financial crimes audits, regulatory validation activities, control testing, and surveillance effectiveness reviews within highly regulated financial institutions. This role combines hands‑on audit and issue validation execution with increased ownership of testing quality, regulatory defensibility, and control effectiveness assessment across AML, sanctions, KYC, transaction monitoring, and broader financial crimes programs. The ideal candidate will bring strong experience performing financial crimes audits, compliance testing, issue validation, or second‑line validation work within complex banking environments. In addition to traditional audit testing capabilities, the ideal consultant will have exposure to AML transaction monitoring systems, surveillance controls, data quality validation, control design assessments, and the ability to independently challenge control effectiveness and remediation sustainability. Candidates with experience evaluating transaction monitoring logic, data flows, surveillance controls, or system‑driven AML processes within large financial institutions are highly desired. Essential Duties Audit, Testing, and Validation Execution Execute financial crimes audit and issue validation testing across AML, sanctions, KYC, transaction monitoring, surveillance, and related financial crimes programs. Review and interpret policies, procedures, control documentation, and operational workflows, conduct walkthroughs, and process mapping. Map applicable laws, rules, regulations, and internal policy requirements to relevant controls, monitoring processes, and surveillance activities. Develop and execute detailed test scripts and validation procedures aligned to regulatory and internal policy requirements. Conduct testing of control design and operating effectiveness and document results in regulator‑ready workpapers. Validate remediation activities and corrective action plans for sustainability, root‑cause resolution, and ongoing control effectiveness. Identify, elevate, and clearly communicate issues, control gaps, surveillance weaknesses, and testing observations. Support reviews involving AML transaction monitoring, sanctions screening, KYC/CDD controls, alert generation processes, and surveillance effectiveness. Analyze how financial crime controls operate across business processes, operational workflows, and supporting systems. Quality Assurance & Regulatory Support Support quality review efforts by ensuring testing documentation is complete, consistent, and defensible. Assist in maintaining strong regulatory mapping between applicable AML regulations, guidance, and internal controls. Provide thoughtful challenge to testing conclusions, control effectiveness assessments, and remediation efforts where appropriate. Contribute to improving testing methodologies, validation approaches, documentation standards, and audit consistency across engagements. Support stakeholder discussions, audit leadership updates, and potential regulatory inquiries or reviews. Assist with identifying emerging financial crime risks, control deficiencies, and monitoring gaps within complex banking environments. Qualifications Bachelor’s degree in accounting, Finance, Business, Information Systems, or related field. 8+ years of financial crimes audit, compliance testing, issue validation, or financial crimes risk management experience within financial services. Experience supporting AML, sanctions, KYC, transaction monitoring, or broader financial crimes compliance programs. CAMS, CFE, CISA, or similar financial crimes/audit certification strongly preferred. Strong documentation and workpaper preparation skills with the ability to produce regulator‑ready deliverables. Ability to independently manage multiple testing workstreams in fast‑paced regulatory environments. Advanced Microsoft Excel skills and proficiency with SQL or similar query languages strongly preferred. Strong understanding of financial crimes risk areas, control frameworks, testing methodologies, and issue remediation practices. Experience designing and executing detailed audit test scripts and sampling approaches. Excellent written and verbal communication skills with strong stakeholder engagement capabilities. Strong analytical, organizational, and problem‑solving skills. Ability to balance independent execution with collaborative team support and quality‑focused review practices. Skills and Job‑Specific Competencies Experience supporting AML transaction monitoring, sanctions screening, surveillance testing, or financial crimes control validation programs. Exposure to AML systems, surveillance workflows, data lineage, or control framework validation activities. Experience performing issue validation or independent control effectiveness assessments within large or highly regulated financial institutions. Experience identifying control gaps, data quality issues, or weaknesses in monitoring and escalation processes. Familiarity with regulator expectations related to AML, BSA, sanctions, KYC, and financial crimes governance. Travel Requirements No travel will be required, unless at the client’s discretion. Physical Requirements The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be provided to qualified applicants or candidates with disabilities upon request to enable them to perform essential functions. This role may require mobility to attend in‑person meetings, sitting or standing for extended periods, and the use of telephone, computer, or other electronic communication devices. Salary Range The compensation for this specific role is based on a wide range of factors, including but not limited to education, licensure and certifications, location, experience, and training. A reasonable estimate for the current hourly range for this role is $70 – $85. Benefits Health insurance, sick leave, 401(k), and access to top‑tier employers and job opportunities. Inclusion and Diversity Statement SolomonEdwards is an Equal Opportunity/Affirmative Action employer. We firmly believe in fostering an inclusive and diverse workplace environment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, veteran status, or any other characteristic protected by applicable laws. All employees, including managers and supervisors, are responsible for upholding our EEO and diversity principles. Discrimination or harassment of any kind will not be tolerated. Privacy We adhere to the California Consumer Privacy Act (CCPA). Your privacy is important to us, and we never sell your data to third parties. Personal information is only collected to match applicants with job opportunities. #J-18808-Ljbffr SolomonEdwards