Senior Manager Internal Audit Regulatory Compliance

Senior Manager Internal Audit Regulatory Compliance

Requirements

• 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.
• 5+ 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).
• Experience building, using and interpreting data extracts, data visualization and reporting (Tableau), and analytical skills.

Responsibilities

• Audit Planning using a risk-based approach lead the end-to-end planning, execution and reporting of enterprise level regulatory compliance audit projects effectively and efficiently, while adding value and utilizing data analytics.
• Working closely with internal clients at all levels in developing audit findings, audit reports and recommendations regarding business process optimization, implementing regulatory compliance management program, internal control, and compliance.
• Actively contribute to the development of continuous monitoring and continuous assurance using data analytics to monitor and report key emerging inherent risk areas and weaknesses in control environment.
• Support to 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). As trusted advisor ensure there is adequate and risk-based coverage of regulatory compliance in regional/platform audit projects.
• Lead 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.
• Actively monitor and assess global regulatory compliance developments and emerging risks. In capacity as trusted advisor develop 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. Developing and maintaining productive client and team relationships through individual contacts and group meetings.
• Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit.

Preferred Qualifications

• Professional designation (e.g. accounting, audit, financial crimes, risk management certifications)
• Post-graduate degree (e.g. P. Eng., MSc – Data Science)
• Experience in a matrixed organization (Tableau), and analytical skills