Senior Capital Markets Auditor -participation in various regulatory remediation projects.- 27490
S.i. Systems
Toronto
1d ago

Senior Capital Markets Auditor

Location Address : Hybrid 44 King Street W 16th floor - 1-2 days per week in office

Contract Duration : 17 months

  • Business group : GBM Audit - The Audit Department is the 3rd Line of Defense and plays a key role in the internal control system of the Bank.
  • Its mandate is to provide independent and objective assurance over the design and effectiveness of internal controls to mitigate risks and to provide advisory services designed to improve the Bank's operations.

  • Project : The incumbent has responsibility for planning, executing and reporting of audits to provide independent, objective risk assessment of the effectiveness of Global Banking and Markets (GBM) within the overall Regulatory Compliance Management and Operational Risk Management Framework.
  • The incumbent will act as Officer-in-Charge (OIC) on audit engagements and is responsible to execute the assigned audits and deliver quality work in accordance with the department methodology.

    The position will assist the VP and Director within the GBM Audit Team in the design of the Annual Audit Plan and to perform activities under the Center of Excellence model including participation in various regulatory remediation projects.

    Responsibilities :

    o Executes audit engagements as per the Audit Plan and updates the Risk Assessment Database as required to ensure appropriate coverage

    o Leads and participates in the audit coverage of Dodd-Frank Act Swap Dealer and Canadian regulatory audits and to develop standard audit programs for adequate and consistent approach to cover regulatory compliance

    o Writes high quality audit reports within established timelines

    o Validates audit findings and remediation milestones undertaken by management including project management activities

    o Maintains a thorough understanding of US and Canada regulations. This includes keeping abreast of key industry developments, regulatory changes, and identifies key systemic issues (arising from audits globally) and internal changes that will impact the annual audit plan and / or quarterly Audit Committee reporting

    o Executes the quarterly continuous monitoring program

    o Maintains relationships with GBM Sales and Trading, GBM Compliance, and audit teams

    o Develop tactical strategies for increasing the use of data analytics to drive effective annual planning / risk assessment, and engagement / project execution

  • Works independently within the mandate of the Department, approved annual audit plan and with periodic consultation from the Director.
  • Escalates issues impacting deadlines, risk, and material error.
  • Identifies changes to the scope / extent of the audit based on initial research / audit findings and seeks input from the Director.
  • Must Have Skills :

  • 8-10 years’ experience in Capital Markets Compliance, Compliance Audit, Regulatory body or related consulting experience
  • 8-10 of Capital Markets Products and Regulations including Compliance framework, structure, programs, and systems
  • 8-10 years of knowledge using Excel to analyze large transaction data for independent testing and validation
  • 8-10 years of experience with audit processes and methodologies
  • Intermediate level ability to write clearly and concisely
  • Nice-To-Have Skills :

  • Internal or external audit background. Accounting designations / technical / professional qualifications (CPA, CFA, CIA etc.) will be an asset.
  • Degrees or certifications :

  • University degree in business, finance, economics, accounting or any other relevant area.
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