Senior Manager, U.S. Finance & Regulatory Reporting - Audit

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Requisition : 274246

Salary Range: -

Please note that the Salary Range shown is a guideline only. Salary offered may vary based on factors, including, but not limited to, the successful candidate’s relevant knowledge, skills, and experience.

Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.

Purpose

Lead and execute Financial and Regulatory Reporting related audits. Senior Manager leads and oversees audit coverage and initiatives, ensuring all activities conducted follow governing regulations, internal policies, and procedures. The Senior Manager will be responsible for all aspects of the audit, including the planning, execution, and reporting phases. They will also be involved in internal and external issue validation as well as audit continuous monitoring activities.

What You'll Do

• Develop a strategy for financial and regulatory audits, risk management, and annual planning for banking and broker-dealers, and assist in successfully executing banking and broker-dealer-related audits, regulatory matters, and strategic initiatives.
• Lead and assist in design and operating effectiveness testing to verify the adequacy of controls over Finance activities (specifically, banking/broker-dealers), including financial close, financial and management reporting, booking model, financial projection and analysis, regulatory reporting, and product control under GAAP and IFRS.
• Act primarily as Officer in Charge (OIC) for assigned projects, processes, and units. May act as Audit Principal in some low to medium-complexity assignments. Manage and supervise the end-to-end process of the execution of the audit and ensure the nature and extent of testing are appropriate to support the objective, scope, and overall opinion.
• Define the scope of audits, including alignment with the title, and coverage of in-scope processes sufficient to provide holistic assurance, including integration with global processes as applicable
• Deliver well-crafted and impactful audit issues, aligned with the client’s understanding of their environment, identifying clearly the need for meaningful change, with recommendations and expected evidence of remediation that address the established root cause
• Deliver considered audit opinions, with a balanced rating demonstrating a clear statement of the assurance provided, supported by measured evaluation of the strengths and weaknesses of the processes reviewed.
• Assist in the development and execution of a comprehensive and strategic audit plan. Ensure auditable entities remain within the cycle and conduct ongoing monitoring activities to stay abreast of changes (business/industry/regulatory) / emerging risks/themes or systemic issues that may impact the risk assessment of the audit universe and the audit plan. May also execute assigned audit activities independently as a team member under the direction of the OIC on assignments.
• Maintain a thorough understanding of the business, risks, and processes for assigned areas.
• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
• Responsible for the development of appropriate audit plans/activities for assigned area
• Responsible for reviewing outstanding issues relating to reporting and controls, performing analysis to identify themes, determining the root cause of the weakness, and preparing reports to communicate the test findings
• Maintain collaborations with global audit teams such as COEs, Global Wholesale Operations, regional audit teams including Capital Markets, Compliance, Risk Management, Operations, and business functions both…