NY HELPNo

AgencyFinancial Services, Department of

TitleTeam Lead for Internal Audit, Controls and BSA/AML (Director Financial Services Programs 3, NS)

Occupational CategoryFinancial, Accounting, Auditing

Salary GradeNS

Bargaining UnitM/C - Managerial/Confidential (Unrepresented)

Salary RangeFrom $156757 to $197170 Annually

Employment Type Full-Time

Appointment Type Temporary

Jurisdictional Class Exempt Class

Travel Percentage 30%

Workweek Mon-Fri

Hours Per Week 37.5

Workday

From 8 AM

To 6 PM

Flextime allowed? No

Mandatory overtime? No

Compressed workweek allowed? No

Telecommuting allowed? Yes

County To Be Determined

Street Address Albany - One Commerce Plaza

New York City - One State Street

City Albany or New York City

StateNY

Zip Code12257

Duties Description The New York State Department of Financial Services seeks to build an equitable, transparent, and resilient financial system that benefits individuals and supports business. Through engagement, data-driven regulation and policy, and operational excellence, the Department and its employees are responsible for empowering consumers and protecting them from financial harm; ensuring the health of the entities we regulate; driving economic growth in New York through responsible innovation; and preserving the stability of the global financial system.

The Department of Financial Services is seeking candidates for the position of Team Lead for Internal Audit, Controls and BSA/AML in Banking Management. Duties include, but are not limited to, the following:

• Leads specialist unit combined of subject matter experts in Bank Secrecy Act (BSA), Anti-Money Laundering (AML) and Internal Audit (IA) compliance assessment;
• Acts as a resource for generalist examiners on complex exams, and reviewing examination reports finding significant anti-money laundering (AML) deficiencies or recommending supervisory or enforcement actions;
• Provides training to generalist examiners across the Banking Division;
• Responsible for talent-management functions in the newly combined Internal Audit, Controls, and BSA/AML team, including: Employment; Overseeing staffing of Bank Division examinations; Performance evaluations; Staff development/training; Disciplinary actions; Succession planning; and Ensuring all staff comply with job requirements;
• Trains and mentors lead risk, audit, and internal controls examiners;
• Manages the activities of personnel responsible for monitoring our regulated entities' risk, audit and internal controls objectives;
• Engages effectively and continuously with team leads on their responsibilities, to ensure clarity in the communication roles to their respective examiners;
• Supports the development and implementation of regular communication methods to keep employees informed of policy, procedural, and regulatory updates;
• Participates in the vetting of applications across the Banking Division;
• Facilitates collaboration within the Banking Division and across the Department on complex AML supervisory issues;
• Acts as a liaison with Financial Crimes Enforcement Network (FinCEN) and Office of Foreign Assets Control (OFAC) on information sharing matters related to DFS’s Memorandum of Understanding (MOUs) with these U.S. Treasury units;
• As applicable, represents DFS on special advisory committees, both for governmental activities (e.g., U.S. FATF, FFIEC) and trade groups (e.g., CSBS);
• Prepares comprehensive written reports and summaries communicating findings;
• Ensures key data, inventory, metrics, and reporting is established;
• Maintains knowledge and learning for best practices for teams to use in their review during the examination process;
• Participates in the regular refresh and revision of supervisory materials to reflect best practices;
• Directly engages with institution supervisors on issues that arise during examinations and provides consistent direction and guidance to team leads;
• Submits timely updates to senior management;
• Responsible for keeping the Banking Division and the Executive Deputy Superintendent apprised of regulatory developments and emerging issues;
• Travel may be required up to 30%; and
• Other duties as assigned

Minimum Qualifications Preferred Qualifications

• At least 13 years of relevant work experience;
o Substitutions: Associate degree may substitute for two years of specialized experience; bachelor's degree may substitute for four years of specialized experience; master's degree may substitute for five years of specialized experience; J.D. may substitute for six years of specialized experience; Ph.D. may substitute for seven years of specialized experience;
• Four years of experience must have been at a managerial level;
• Must be effective as a leader and exhibit excellent management skills;
• Has excellent communication skills and must effectively articulate risks and opportunities to a broad range of stakeholders, management and regulatory agencies; and
• Has a basic understanding of technology issues and tools used in the examination process in order to effectively evaluate risk, assess sufficiency of controls, and identify process improvement opportunities.

Appointment Method:

This is an appointment to a position in the exempt jurisdictional class. As such, the incumbent of this position would serve at the pleasure of the appointing authority.

Additional Comments Please note that a change in negotiating unit may affect your salary, insurance and other benefits.

Salary: $156,757 - $197,170 (salary commensurate with experience)

Positions located within the New York City metropolitan area, as well as Suffolk, Nassau, Rockland, and Westchester Counties, are also eligible to receive an additional $4,000 annual downstate adjustment.

Appointment Status: This is an appointment to a position in the exempt jurisdictional class.

Appointment to this position is pending Governor Appointment’s Office and Division of Budget approval.

Some positions may require additional credentials or a background check to verify your identity.

Name Kara Waters

Telephone

Fax (518) 402-5071

Email Address NCE.Notifications@dfs.ny.gov

Address

Street One Commerce Plaza

Suite 301

City Albany

State NY

Zip Code 12257

Notes on ApplyingTo Apply: Interested qualified candidates must submit a resume and letter of interest no later than May 19, 2026 to the email address listed below. Please include Box# (Box TLIABA-DFSP3-10146) in the subject line of your email to ensure receipt of your application. Email submissions are preferred.

Please be advised that the New York State Department of Financial Services does not offer sponsorship for employment visas.

Kara Waters
Box TLIABA-DFSP3-10146
New York State Department of Financial Services
Office of Human Resources Management
One Commerce Plaza, Suite 301
Albany, NY 12257
Email: NCE.Notifications@dfs.ny.gov
Fax: (518) 402-5071

All candidates that apply may not be scheduled for an interview.


Public Service Loan Forgiveness
Employment with New York State qualifies an individual for Public Service Loan Forgiveness (PSLF). This program forgives the remaining balance on any Direct Student Loans after you have made 120 qualifying monthly payments while working full-time for a U.S. federal, state, local, or tribal government or not-for-profit organization. To learn more about the program and whether you would qualify, please visit: https://studentaid.gov/manage-loans/forgiveness-cancellation/public-service


AMERICANS WITH DISABILITIES ACT: REASONABLE ACCOMMODATIONS
Under the Americans with Disabilities Act (ADA), the Department of Financial Services is required to provide reasonable accommodation for known physical or mental limitations of an otherwise qualified applicant with a disability if an accommodation would enable the applicant to perform the essential functions of the job. If the accommodation would constitute an undue hardship on the operations of the agency, the agency is not required to provide it.

All people with disabilities are encouraged to apply to all jobs for which they meet the minimum qualifications.