Auditor

• Degree/Certifications Required: University or Post-Graduate degree
• Years of Overall Experience: 6 years in Risk compliance
• Ideal Candidate Background: collaborate very well, lots of interaction across (95%), confident, excellent communication, heavy understanding on risk governance and control, Capital market experience, and someone who can hit the ground running.
• How will performance be measured: Deliverable
• Selling Points of Position (CVP): Long-term role

• The team is responsible for overseeing the timely and consistent implementation – across all CLIENT’S businesses – of all risk, control and governance programs, initiatives, policies, and strategic business projects. The CLIENT’S G&C team acts as the primary contact for the CLIENT’S businesses, working closely with subject matter experts from each CLIENT’S business line. The team works together with the business leaders to implement Enterprise and CLIENT’S methodologies, policy frameworks, standards and practices and are key members of enterprise projects / programs requiring CLIENT’S representation.

• Knowledge of capital markets businesses preferred
• Minimum 6 years Risk, Audit, and/or Compliance experience (financial services industry preferred).
• Strong analytical/research skills & business acumen with the ability to breakdown complex subjects into manageable parts in a systematic manner & assess risk/challenge the status quo.

• Strong interpersonal and relationship management skills

• Professional accounting (asset)
• Auditing (asset)

• Reporting to a Senior Manager (hiring manager) on the CLIENT’S 1B G&C team, the G&C Manager’s primary role is to support CLIENT’S Corporate & Investment Banking businesses in adherence to regulatory requirements, managing risk and having effective operational controls in place. The Manager is expected to work with the relevant CLIENT’S businesses and CLIENT’S control partners to ensure appropriate policies, procedures and controls are in place and appropriately governed.
• As part of the key accountabilities of the role, the Manager will:
• Demonstrate a strong understanding and promote awareness of key operational risk frameworks/policies and risk appetite to support a strong risk culture;
• Oversee and challenge the effective implementation of Corporate Operational Risk Management (C-ORM) programs (e.g., Process Risk & Control Self-Assessments (pRCSAs), Internal Loss Event validation and reporting, Key Risk Indicator reporting);
• Provide SME advice and input into the ongoing operating effectiveness assessment of CLIENT’S key controls;
• Work with business stakeholders and other G&C leads to oversee and provide support on issues/findings to ensure committed milestones for remediation are actioned by the business appropriately, and in a timely manner;
• Work with other G&C teams to proactively identify and escalate significant risk events and ensure that the businesses remain compliant with regulatory, risk management and control expectations;
• Effectively manage ad-hoc governance, risk management and control projects or tasks of varying complexities within established deadlines;
• Establish strong relationships and maintain an efficient interaction model with business partners, other G&C leads, and Control Partners such as Compliance, Risk Management, Legal, GAML, Privacy and Internal Audit;
• Support executive reporting, including meaningful data insights, on the overall status of programs; and
• Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism.

• University or Post-Graduate degree; professional accounting/auditing/risk management designation would be considered an asset.
• Minimum 6 years Risk, Audit, and/or Compliance experience (financial services industry preferred).
• Knowledge of capital markets businesses preferred.
• Strong analytical/research skills & business acumen with the ability to breakdown complex subjects into manageable parts in a systematic manner & assess risk/challenge the status quo.
• Strong interpersonal and relationship management skills.
• Flexibility to quickly adapt to changing and ambiguous initiatives or requirements, ability to work collaboratively across functions and thrive in a fast-paced environment.
• Effective time management, multi-tasking, and organizational skills to meet tight timeframes.
• Well-developed written and verbal communication skills, as well as confident presentation and facilitation skills.
• Ability to take initiative and work independently and in a team environment.

ProViso Consulting