Manager, Regulatory Compliance Audit

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

As subject matter expert in risk management with knowledge of regulatory compliance management and corporate governance preferably from larger financial institutions, 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 Audits regulatory compliance Center of Excellence (CoE). You will also act as a trusted advisor to auditees and business platform/regional audit teams globally.

What is the opportunity?

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

As subject matter expert in risk management with knowledge of regulatory compliance management and corporate governance preferably from larger financial institutions, 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 Audits regulatory compliance Center of Excellence (CoE). You will also act as a trusted advisor to auditees and business platform/regional audit teams globally.

What will you do?

• 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

What do you need to succeed?

Must-have

• Strong emotional intelligence, leadership skills to motivate and deliver in a team engagement environment, and ability to multitask, prioritize and adapt to fast changing environment
• 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.
• Knowledge of key regulatory compliance regulations (at minimum Canadian (OSFI) (i.e., E-13 Regulatory Compliance Management Guideline), US and UK regulations in the financial services industry)
• Intermediate experience building, using and interpreting data extracts, data visualization and reporting (Tableau), and analytical skills.

Nice-to-have

• Professional designation (e.g. accounting, audit, financial crimes, risk management certifications)
• Post-graduate degree (e.g. P. Eng., MSc - Data Science)
• Experience in an audit lead role

Whats 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
• 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

Job Skills

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

Additional Job Details

20 KING ST W:TORONTOTORONTOCanada37.5Full timeInternal AuditRegularSalaried2024-07-102024-08-31