Senior Associate, Risk & Control

Senior Associate, Risk & Control

ProViso Consulting


• Mapping of regulatory requirements to key controls and meeting with business control owners

Job Description:

Reporting to the Manager, Governance & Control, this position ensures appropriate policies, procedures and controls are in place to address regulatory requirements and risks. Key responsibilities include the following:
• Perform risk assessments based on inherent impact and likelihood;
• Extract controls from existing documentation;
• Work with business stakeholders to develop key controls to address risks;
• Ensure key risks/regulations have been considered in monitoring and oversight by Governance and Control;
• Support ad-hoc analysis and impact assessment on emerging risks.
• Contribute to and promote positive working relationships by effectively communicating and regularly sharing information, issues/points of interest, learnings and knowledge with the team.

Must have:

• 8+ yrs exp. as an a Associate in Risk & Control
• 8+ yrs. exp. with Risk, Audit, &/or Compliance
• 8+ yrs exp. in Risk Assessment & identification in writing & control language (i.e. Write & Challenge a control)
• 2+ yrs exp. writing/reviewing & editing key controls

Nice to have:

• 1+ yrs exp. from Financial Services
• 2+ yrs ability to understand, analyze & interpret legislation
• 2+ yrs strong knowledge of Wealth mgt. regulations & operations
• CA designation with audit exp. (to understand risk and controls)

Job Details



5 Months



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