Capital Market Audit

Job summary

Contribute to independent audits of capital markets and investment management activities, including business processes, risk management, and regulatory compliance. Support risk assessments, audit planning, control evaluation, documentation and reporting, remediation follow-up, and special initiatives.

Job details

Responsibilities This role offers a unique opportunity to contribute as a value-added member of the Internal Audit team while supporting the continued growth of the audit function in Montreal. The individual will be part of the Capital Markets Internal Audit team and will contribute to the independent assessment of the adequacy and effectiveness of capital markets and investment management activities, including front-to-back business processes, risk management functions (second line of defense), regulatory compliance frameworks, and global audit initiatives focused on innovation and continuous improvement. The successful candidate will be responsible for assisting with: Participating in ongoing risk monitoring activities and annual risk assessments. Supporting audit planning and scoping activities in collaboration with the team. Analyzing business processes, procedures, risks, and evaluating the effectiveness of internal controls. Preparing clear and concise audit documentation and drafting findings for management review. Assisting in the preparation of audit reports. Monitoring and following up on audit and regulatory remediation actions. Supporting special projects and strategic initiatives, as required. Keeping current with industry developments and emerging risks impacting assigned areas of responsibility. Qualifications & Skills 3 to 5 years of relevant experience in Internal Audit, Risk Management, Compliance, or a related field within Financial Services. Knowledge of Capital Markets businesses and financial products. Understanding of risk management practices and their application within the financial services industry. Familiarity with regulatory requirements relevant to Capital Markets and Investment Management activities. Strong motivation and ability to perform effectively in a fast-paced environment. Excellent written and verbal communication skills with the ability to build and maintain professional relationships. Demonstrated curiosity, continuous learning mindset, and interest in developing expertise in Internal Audit and Capital Markets. Bachelor's degree in a relevant discipline. Strong analytical and problem-solving skills. Proven ability to demonstrate initiative, integrity, creativity, and sound professional judgment. Collaborative team player with strong knowledge-sharing and relationship-building skills.

What you’ll do

Contribute to independent audits of capital markets and investment management activities, including business processes, risk management, and regulatory compliance. Support risk assessments, audit planning, control evaluation, documentation and reporting, remediation follow-up, and special initiatives.

Requirements

Requires 3 to 5 years of relevant experience in internal audit, risk management, compliance, or a related financial services field, along with knowledge of capital markets, financial products, risk practices, and relevant regulations. A bachelor's degree in a relevant discipline, strong analytical and communication skills, initiative, integrity, sound judgment, and a collaborative approach are expected.

Listed skills

• Problem solving · Preferred
• Regulatory Compliance · Preferred
• Risk Management · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• Internal Audit
• Capital Markets
• Investment Management
• Risk Assessment
• Risk Management
• Regulatory Compliance
• Internal Controls
• Audit Planning
• Audit Scoping
• Business Process Analysis
• Audit Documentation
• Audit Reporting
• Remediation Monitoring
• Analytical Skills
• Problem-Solving
• Professional Judgment

Job areas

• Finance & Accounting
• Management & Leadership
• Data & Analytics

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