• Business group: Global Wealth and Insurance Audit
• Project: Large compliance transformation project. The candidate will be conducting audit testing to validate the individual milestones within the scope of the specific project.
• Reason for request: Additional support to complete regulatory requests and recommendations.
Candidate Value Proposition
• The successful candidate will be involved in a large change initiative for a big bank in Canada, addressing regulatory feedback and issues for key regulators in Canada.
• The candidate will be able to see the direction of a large compliance function and how they are moving towards being future-ready.
Typical Day in Role
• Managing various milestone testing through different stages: planning, fieldwork, reporting
• Conducting tollgate meeting with audit management for approvals
• Discussing issues or observations with Global Compliance stakeholders
• Performing walkthroughs with Global Compliance stakeholders
• Addressing feedback from audit management
• Documenting work within the audit database
• 60:40 split between individual workload and collaborative work with others
• Working with platform Teammates to document work
• Working with Microsoft Teams on a daily basis to work collaboratively with the team
• Daily use of Microsoft office – Excel, PPT, Word
Candidate Requirements/Must Have Skills:
• 8+ years of previous audit experience
• 3+ years of previous regulatory compliance experience
• 1+ years of previous remediation experience
• Previous banking experience within a large financial institution
• Regulatory experience – having worked with a regulator
• Experience with PowerBI
• Strong client-relationship skills
• Comfortable with ambiguity
• Good influencing and negotiation skills
• Strong time management and organizational skills to work within deadlines
Best vs Average:
• The best candidate will have previous audit experience, regulatory compliance experience, as well as previous banking experience.
Degrees or certifications:
• Bachelor’s Degree is mandatory
• CIA – Certified Internal Auditor is preferred