Audit Manager, Regulatory Compliance

As a Manager Compliance, responsible for providing independent and objective evaluation of the adequacy and effectiveness of Compliance practices for all of the business lines within RBC in the US (i.e. US Capital Markets, US Wealth Management, Global Asset Management, WFC Branch and the NY Credit Branch), performing continuous risk monitoring activities to develop and maintain the annual audit plan and leading the execution of internal audits in a team-based environment to assess the effectiveness of controls and compliance with governmental regulation.

What will you do?

• Working in a team-based environment, take part in audit engagements with a team of professional auditors to effectively cover Compliance functions in the U.S. This includes all of the audit phases such as planning the engagement, conducting control design assessments, control effectiveness testing, escalating test exceptions to the audit lead, and aiding in the draft and finalization of audit reports.
• Support the US IA Compliance team in risk assessment and continuous monitoring through data collection, coordination with relevant stakeholders, and maintaining awareness of changes to relevant US laws and regulations.
• Together with the Director for IA US Compliance, execute the validation of regulatory matters issued by relevant regulatory bodies.
• Supports other internal Audit groups in execution of their audit plans as necessary.
• Identifies and recommends efficiency opportunities within the business.

What do you need to succeed?

Must-have

• 4+ years of experience in financial services internal audit (preferably Banking)
• Proven ability to produce well written work products and effective communication along with value added observations/recommendations
• Highly proficient in the use of Microsoft Excel, Word and PowerPoint.
• Strong problem solving and negotiating skills to mitigate conflicts arising from difficult situations
• Proficient time management, organizational, and project management skills. Ability to pivot through working on multiple deliverables with tight deadlines

Nice to haves:

• Certified Internal Auditor, Certified Public Accountant, or other relevant professional certification
• A strong understanding of Data Analytics, data visualization and reporting
• Knowledge of US regulatory standards, auditing standards and business processes in the financial securities environment

What's in it for you?

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, commissions, and stock where applicable

• Leaders who support your development through coaching and managing opportunities

• Ability to make a difference and lasting impact

• Work in a dynamic, collaborative, progressive, and high-performing team

• A world-class training program in financial services

• Flexible work/life balance options

#LI-Hybrid

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