Senior Associate - AML/CFT & Sanctions Compliance

BTVK Advisory is a leading advisory firm whose specialized professionals guide clients through an ever-changing business world, helping them win now and anticipate tomorrow. BTVK Advisory, and its affiliated entities, have operations in North America, South America, Europe, Asia, and Australia. BTVK Advisory s ultimate parent entity, Baker Tilly US, LLP, is an independent member of Baker Tilly International, a worldwide network of independent accounting and business advisory firms in 141 territories, with 43,000 professionals and a combined worldwide revenue of $5.2 billion.

Baker Tilly is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status, gender identity, sexual orientation, or any other legally protected basis, in accordance with applicable federal, state or local law.

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Responsibilities:

• Execute AML/CFT and sanctions independent testing engagements across banking and financial services clients, including performing risk assessments, control testing, and gap analysis against regulatory expectations (e.g., BSA/AML, FATF, OFAC, FCA, MAS).
• Develop testing plans, execute fieldwork, document findings with clear, actionable recommendations, and support audit and regulatory responses, including remediation validation.
• Conduct end-to-end validations of AML transaction monitoring systems, sanctions screening models, and customer risk rating models.
• Assess model design, segmentation, thresholds, scenarios, data inputs/outputs, perform conceptual soundness reviews, outcomes analysis, and benchmarking exercises.
• Prepare detailed validation reports aligned with regulatory guidance (e.g., SR 11-7, model risk management principles).
• Support ongoing AML operations including transaction monitoring, sanctions screening, KYC/CDD reviews, alert/case investigations, SAR drafting support, and quality assurance reviews.
• Drive continuous improvement initiatives within managed service delivery models while ensuring adherence to client SLAs, quality standards, and regulatory requirements.
• Collaborate closely with onshore teams and client stakeholders to deliver high-quality outcomes and participate in client meetings, status reporting, and issue resolution.
• Contribute to thought leadership, methodology development, and internal training initiatives.
• Ensure high-quality execution and delivery across AML Independent Testing, AML Model Validation, and AML Managed Services engagements in accordance with regulatory expectations and client requirements.

Qualifications:

• Execute AML/CFT and sanctions independent testing engagements across banking and financial services clients, including performing risk assessments, control testing, and gap analysis against regulatory expectations (e.g., BSA/AML, FATF, OFAC, FCA, MAS).
• Develop testing plans, execute fieldwork, document findings with clear, actionable recommendations, and support audit and regulatory responses, including remediation validation.
• Conduct end-to-end validations of AML transaction monitoring systems, sanctions screening models, and customer risk rating models.
• Assess model design, segmentation, thresholds, scenarios, data inputs/outputs, perform conceptual soundness reviews, outcomes analysis, and benchmarking exercises.
• Prepare detailed validation reports aligned with regulatory guidance (e.g., SR 11-7, model risk management principles).
• Support ongoing AML operations including transaction monitoring, sanctions screening, KYC/CDD reviews, alert/case investigations, SAR drafting support, and quality assurance reviews.
• Drive continuous improvement initiatives within managed service delivery models while ensuring adherence to client SLAs, quality standards, and regulatory requirements.
• Collaborate closely with onshore teams and client stakeholders to deliver high-quality outcomes and participate in client meetings, status reporting, and issue resolution.
• Contribute to thought leadership, methodology development, and internal training initiatives.
• Ensure high-quality execution and delivery across AML Independent Testing, AML Model Validation, and AML Managed Services engagements in accordance with regulatory expectations and client requirements.