Risk Advisor, Retail Brokerage

As a Risk Advisor specializing in Retail Brokerage, you will play a crucial role within our client's growing Business Controls team. This team manages operational risk, regulatory supervision, standardized testing, sales monitoring, and loss management across Personal and Business Banking, Commercial Banking, and Wealth Management (PBB and CBWM). In this second line of defense role, you will be instrumental in supporting the Retail Brokerage division by proactively identifying, assessing, and mitigating risks, ensuring compliance with regulatory requirements, and driving control improvements.

Client: Big 5 Bank

Location: Downtown Toronto. 1 day in office

Duration of Contract/Perm: 6-month contract to begin with opportunity to extend or convert.

Hours/week: 37.5 hrs

Start date: January 2024

Job Description

In this role, you will leverage your expertise in Governance, Risk, Compliance (GRC), controls testing, and banking regulations to contribute to a dynamic team within a leading financial institution. You will be responsible for a range of tasks, including:

Responsibilities

• GRC & Controls Deep Dive: Apply your knowledge of GRC principles and frameworks to support various risk and control initiatives.
• Testing Expertise (Plus): Conduct or assist with the testing of internal controls, identifying areas for improvement and ensuring effectiveness. (Experience with testing methodologies is a plus.)
• Streamlining Processes: Identify opportunities to streamline risk management processes and reduce backlogs, promoting operational efficiency.
• Communication & Coordination: Maintain clear and concise communication with internal and external stakeholders, ensuring all parties are informed and aligned.
• Project Management: Utilize project management skills to manage tasks, prioritize deadlines, and drive initiatives forward.

Top 3 Must Haves:

• Wealth knowledge, specifically in Retail Brokerage
• Understands regulatory requirements
• Eager to learn, well-organized, team-centric mindset

Top 3 Nice to Haves:

• Understands GRC
• Worked a delivery role (PM, PCO, etc)
• Controls experience

Qualifications:

• Bachelor's degree in Business Administration, Finance, or a related field (preferred).
• 3-5 years of experience in IT risk management, controls, internal audit, or a related field.
• Strong understanding of GRC principles, frameworks, and regulations (e.g., Basel, FFIEC).
• Demonstrated experience with internal controls testing methodologies (a plus).
• Solid experience in the banking industry with a focus on risk management and controls (highly preferred).
• Experience with project management principles and task coordination.
• Proficiency in Microsoft Office Suite (Word, Excel, Outlook) is essential.
• Excellent communication, interpersonal, and organizational skills.
• Strong attention to detail, ability to prioritize, and a proactive problem-solving approach.
• Ability to work independently and collaboratively within a team environment.

This a great opportunity to join a Big Five Bank and continue your career in the financial domain. Be a part of a great work environment with a very well-organized team and colleagues who will help you succeed.

This is a position that impacts the bank enterprise wide with great opportunity for career growth within the bank.

If you are not a 99% match to the above and want to be considered for other opportunities at our enterprise clients, register for our Talent Network where you can receive job alerts about new opportunities that match your interests.

EEO Employer

Apex is an Equal Employment Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, sexual orientation, gender identity, national origin, disability, protected veteran status, or any other characteristic protected by law. Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Employee Services Department at employeeservices@apexsystemsinc.com or 844-463-6178.