Audit Manager

Audit Manager

ProViso Consulting

Dept. Overview:

• The Wealth Management Audit group is responsible for performing audits for client Asset Management, client Mutual Funds, Private Wealth Management, Direct Investing, Financial Planning and the back-office operations that support these areas.

Job Description:

• Manage and conduct audits leading a team of auditors under the guidance of the Senior Audit Manager in accordance with the established policies and standards and within the prescribed time and budget;
• Oversee the completion of the overall audit process, including identification of risks and controls, scoping, development and application of appropriate audit programs, on-going client communications, reporting, and post-audit procedures;
• Lead the risk assessment process and provide expertise on regulatory issues to identify key risks;
• Review and recommend controls and safeguards that contribute to the development of policies and/or procedures for the clients;
• Protect the interests of client by maintaining awareness of emerging issues, regulatory requirements and assess potential impacts at a business level;
• Conduct research as required to identify benchmarks and/or industry best practice for the management of risk across the business;
• Review the deliverables produced by the Auditor, providing an appropriate level of challenge and coaching to support the production of high quality outputs;
• Indirectly manage a team of professional resources, actively develop, train, coach and provide feedback for performance assessments for team members;
• Lead and execute audits of complex projects being undertaken by the Wealth Management business;
• Build and maintain positive working relationships by effectively communicating and regularly sharing information, issues, points of interest with the team, internal and external business partners; and
• Support management and other team members in the achievement of individual, divisional and team goals.

Must Have:

• 5-7+ yrs of Operational Auditing exp. (does not need a Financial Auditor, and does not need SOX)
• Audit exp. in Canadian Wealth Mgt. industry (i.e. fund mgr., money mgr, wealth front space)
• Strong compliance or internal/external audit background
• CA designation

Nice To Have:

• Experience in project management
• Knowledge of data analytics

Additional Skills:

• Demonstrated time management and organizational skills to meet tight deadlines as well as flexibility to adapt to changing priorities;
• Multi-tasking skills as the job requires managing of several tasks concurrently;
• Excellent analytical skills in assessing risk issues and challenging status quo;
• Strong communication skills (written and verbal);
• Confident presentation and facilitation skills and strong interpersonal and leadership skills to facilitate working with auditees and senior management at all levels;

Job Details



6 Months



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