Director, Enterprise Compliance Internal Audit
Top Benefits
About the role
What will you do?
- Audit Planning using a risk-based approach lead the end-to-end planning, execution and assesses the effectiveness of key risk management practices within Regulatory Compliance second line of defense.
- Lead a team of Sr. Managers and Managers delivering on regulatory compliance audit plan and developing future talent while maintaining a positive, collaborative and growth-oriented team mindset.
- Working closely with internal clients at all levels in developing audit findings, audit reports and recommendations regarding business process optimization, implementing regulatory compliance management program, internal control, and compliance.
- Lead the development of Compliance CoE, remaining abreast of regulatory changes to provide effective advisory support to audit teams in covering first line Compliance controls relevant to their business, and 2nd line audit teams on regulatory compliance program testing (under OSFI E13 Guidelines).
- Develop and maintain Regulatory Compliance Standard Audit Programs and training programs for auditors across the CAE Group to upskill regulatory knowledge.
- Lead the development of continuous monitoring and continuous assurance using data analytics to monitor and report key emerging inherent risk areas and weaknesses in control environment.
- Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit.
What do you need to succeed?
Must-Haves:
- 7-10 years of experience in a financial institution, professional consulting/accounting firm or regulatory compliance. Including experience in audit with leadership and people management responsibilities.
- Demonstrated expertise and deep knowledge of audit including risk-based audit plan development, engagement management, report and issue writing, managing executive-level client meetings and relationships, and audit committee reporting / presentation preparation.
- Strong understanding of risk governance frameworks (i.e. OSFI E-13, Operational Risk framework, etc.) and regulatory compliance (i.e. market conduct, privacy, consumer protection, etc.).
- Understanding of data analytics and technology, and demonstrated experience with incorporating into assurance work including testing and risk assessments.
- University degree (e.g. business, accounting, legal).
Nice to have:
- Professional designation or Master’s degree (e.g. CPA, CIA, regulatory compliance certifications).
- Experience with regulatory issue validation in a large financial institution.
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking to keep
growing, and working together to deliver trusted advice to help our clients
thrive and communities prosper. We care about each other, reaching our
potential, making a difference to our communities and achieving success that
is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions and stock where applicable.
- Work with and learn from our extensive global network of people, including risk management professionals, data scientists, researchers, and various subject matter experts.
- Leaders who support your development through coaching and managing opportunities.
- Opportunities to do challenging work.
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.
Director, Enterprise Compliance Internal Audit
Top Benefits
About the role
What will you do?
- Audit Planning using a risk-based approach lead the end-to-end planning, execution and assesses the effectiveness of key risk management practices within Regulatory Compliance second line of defense.
- Lead a team of Sr. Managers and Managers delivering on regulatory compliance audit plan and developing future talent while maintaining a positive, collaborative and growth-oriented team mindset.
- Working closely with internal clients at all levels in developing audit findings, audit reports and recommendations regarding business process optimization, implementing regulatory compliance management program, internal control, and compliance.
- Lead the development of Compliance CoE, remaining abreast of regulatory changes to provide effective advisory support to audit teams in covering first line Compliance controls relevant to their business, and 2nd line audit teams on regulatory compliance program testing (under OSFI E13 Guidelines).
- Develop and maintain Regulatory Compliance Standard Audit Programs and training programs for auditors across the CAE Group to upskill regulatory knowledge.
- Lead the development of continuous monitoring and continuous assurance using data analytics to monitor and report key emerging inherent risk areas and weaknesses in control environment.
- Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit.
What do you need to succeed?
Must-Haves:
- 7-10 years of experience in a financial institution, professional consulting/accounting firm or regulatory compliance. Including experience in audit with leadership and people management responsibilities.
- Demonstrated expertise and deep knowledge of audit including risk-based audit plan development, engagement management, report and issue writing, managing executive-level client meetings and relationships, and audit committee reporting / presentation preparation.
- Strong understanding of risk governance frameworks (i.e. OSFI E-13, Operational Risk framework, etc.) and regulatory compliance (i.e. market conduct, privacy, consumer protection, etc.).
- Understanding of data analytics and technology, and demonstrated experience with incorporating into assurance work including testing and risk assessments.
- University degree (e.g. business, accounting, legal).
Nice to have:
- Professional designation or Master’s degree (e.g. CPA, CIA, regulatory compliance certifications).
- Experience with regulatory issue validation in a large financial institution.
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking to keep
growing, and working together to deliver trusted advice to help our clients
thrive and communities prosper. We care about each other, reaching our
potential, making a difference to our communities and achieving success that
is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions and stock where applicable.
- Work with and learn from our extensive global network of people, including risk management professionals, data scientists, researchers, and various subject matter experts.
- Leaders who support your development through coaching and managing opportunities.
- Opportunities to do challenging work.
About RBC
Royal Bank of Canada is a global financial institution with a purpose-driven, principles-led approach to delivering leading performance. Our success comes from the 94,000+ employees who leverage their imaginations and insights to bring our vision, values and strategy to life so we can help our clients thrive and communities prosper. As Canada's biggest bank and one of the largest in the world, based on market capitalization, we have a diversified business model with a focus on innovation and providing exceptional experiences to our more than 17 million clients in Canada, the U.S. and 27 other countries. Learn more at rbc.com. We are proud to support a broad range of community initiatives through donations, community investments and employee volunteer activities. See how at www.rbc.com/community-social-impact.
La Banque Royale du Canada est une institution financière mondiale définie par sa raison d'être, guidée par des principes et orientée vers l'excellence en matière de rendement. Notre succès est attribuable aux quelque 94 000+ employés qui mettent à profit leur créativité et leur savoir faire pour concrétiser notre vision, nos valeurs et notre stratégie afin que nous puissions contribuer à la prospérité de nos clients et au dynamisme des collectivités. Selon la capitalisation boursière, nous sommes la plus importante banque du Canada et l'une des plus grandes banques du monde. Nous avons adopté un modèle d'affaires diversifié axé sur l'innovation et l'offre d'expériences exceptionnelles à nos plus de 17 millions de clients au Canada, aux États Unis et dans 27 autres pays. Pour en savoir plus, visitez le site rbc.com/francais
Nous sommes fiers d'appuyer une grande diversité d'initiatives communautaires par des dons, des investissements dans la collectivité et le travail bénévole de nos employés. Pour de plus amples renseignements, visitez le site www.rbc.com/collectivite-impact-social.