Manager, Regulatory Compliance Audit

The Manager Regulatory Compliance Audit is a curious, dynamic, adaptable, solution-oriented leader and self-starter.

As a member of the Regulatory Compliance Internal Audit (third line of defense) team that is a subject matter expert in risk management with knowledge of regulatory compliance management, you will be supporting enterprise level audit assurance projects, contributing to development of continuous assurance/monitoring audit approaches leveraging data analytics and data visualization, and development of Audit’s regulatory compliance Center of Excellence (CoE).

You will also act as a trusted advisor to auditees and business platform/regional audit teams globally.

• Participate in the execution of risk-based Enterprise level regulatory compliance audit projects effectively and efficiently, while adding value and identifying opportunities for utilizing data analytics to improve processes.
• Actively contribute to the development of continuous monitoring and continuous assurance to monitor and report key emerging inherent risk areas and weaknesses in control environment.
• Support the development of Compliance CoE, remaining abreast of regulatory changes to provide effective advisory support to first business audit teams in covering first line Compliance controls relevant to their business, and 2nd line audit teams on regulatory compliance program testing (under OSFI E13 Guidelines).
• Support the development and maintenance of Standard Audit Programs which is aligned to OSFI E13 Guideline ensuring consistent and complete audit testing of regulatory compliance management program across all regions and segment.
• Support the development of learning programs to educate broader audit department on emerging regulatory changes across various business segments (i.e., Personal Banking, Capital Markets, Wealth Management)
• Proactively initiate discussions and solutions to new opportunities, challenges and approaches, and challenge status quo.
• Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit

• 3+ years of experience in risk management, regulatory compliance management in a large financial institution, professional consulting/accounting firm, internal audit, or a compliance/regulatory environment. University degree (e.g. business, accounting, legal)
• Excellent written and verbal communication skills and demonstrated critical thinking.
• Experience building, using and interpreting data extracts, data visualization and reporting (Tableau), and analytical skills.

• Professional designation (e.g. accounting, audit, financial crimes, risk management certifications)
• Knowledge of key regulatory compliance regulations (at minimum Canadian (OSFI) (i.e., E-13 Regulatory Compliance Management Guideline)
  Knowledge of key regulatory compliance regulations (at minimum Canadian (OSFI) (i.e., E-13 Regulatory Compliance Management Guideline)
• Post-graduate degree (e.g. P. Eng., MSc - Data Science)
• Experience in an audit lead role

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
• Leaders who support your development through coaching and managing opportunities
• Work in a dynamic, collaborative, progressive, and high-performing team
• Opportunities to do challenging work
• Flexible work/life balance options

Adaptability, Auditing, Commercial Acumen, Communication, Detail-Oriented, Internal Controls, Interpersonal Relationship Management, Long Term Planning, Results-Oriented

20 KING ST W:

TORONTO

Toronto

Canada

Work hours/week: 37.5

Employment Type:

Full time

Platform: INTERNAL AUDIT

Job Type: Regular

Pay Type:

Salaried

Posted Date:

Final date to receive applications:

Applications will be accepted until…