Job Description

One of our banking clients is looking for a Compliance & Audit Analyst (Regulatory, Securities & Wealth Management exp)
Length: 18 Months Contract with high possibility of extension
Location: Toronto, ON - Hybrid (2-3 days in office)
Hours of Work: Monday to Friday, 9am - 5pm
LOB: Private Wealth

ROLE MANDATE:
The selected candidate will be assisting in the ongoing audit requirements for Private Wealth. This team acts as the face of the Private Wealth line of business with various auditors (internal auditors and external regulatory examiners). Audits typically run for 3 months and usually overlap and come in regularly. The team meets with the auditor to collect requirements, sets up meetings to coordinate collecting information and packages the final audit report to be sent to auditors.

This candidate will also, as required, assist with leading program changes to comply with emerging regulatory changes and regulatory readiness.

ROLE RESPONSIBILITIES:

• Leads and support PW internal and external audits, including co-ordination during pre-audit, audit fieldwork, and remediation of any identified issues.
• Gathering and packaging information
• Participates in the Enterprise Regulatory Change Management framework for new and emerging regulatory developments at all stages including gap analysis, project creation, strategy, control design, policy and procedure updates and change management.
• Acts as a subject matter expert in the evaluation, development and implementation of an internal control system.

MUST-HAVE SKILLS:

• Audit Experience (3-5 years)
• Compliance experience (3-5 years)
• Knowledge of New SRO (formerly IIROC) rules and CSA/OSC National Instruments - In-depth
• Excel (basic-intermediate knowledge)
• SharePoint experience
• Verbal & written communication skills - Expert.
• Collaboration & team skills - Expert.
• Analytical and problem solving skills - Expert.
• Influence skills - In-depth.
• Data driven decision making - In-depth.
• Detail oriented
• Organized
• Excellent communication skills
• Analytical

EDUCATION/ CERTIFICATION
Completed post-secondary education (ideally focus in Business, Accounting, Finance)
Canadian Securities Course and Conduct and Practices Handbook (Preferred)
CPH

IDEAL CANDIDATE
- To have both compliance and auditing experience
- Strong change management experience
- Couple projects they work on from a regulatory perspective / changes
- Experience with audits
- Resume is polished and clean

URGENT: Please read the job description above. If this interests you, apply to the job with your most updated resume, including your contact number and email address.

The recruiter in charge of this role is Fathiya.

If you do not think you are a match for this opportunity, but know someone who is, feel free to forward this job description to them and you will be eligible for a referral bonus upon a successful hire.

Please note that this is the most up to date version of job description available at this time - During Client Interview you will receive additional information - variance may apply!

Please note: Adherence to our end client\'s vaccination policy is a requirement.

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