Position Title: Senior Compliance Officer
Duration: 2 months
Work Location: Toronto
JOB DESCRIPTION:
Reporting to the Senior Manager of the Wealth Compliance Canada Testing Team, the Senior Compliance Officer (SCO) will support the wealth testing and monitoring program. The SCO models strong ethics, integrity and leadership to promote a positive work environment that fosters collaboration, innovation and synergies. The SCO will be responsible for all aspects of assigned testing engagements and monitoring activities. The role requires regular interaction and communication with business personnel. Overall success is measured by timely completion of testing engagements and monitoring activities, the quality of the work performed, and the identification and risk-rating of key process and control gaps identified. The SCO will:
• Plan and execute compliance testing programs and communicate compliance testing results
• Identify and document regulatory compliance controls
• Prepare documentation in accordance with established policies and standards
• Budget and be responsible for tracking of work efforts versus budgets
• Develop and execute monitoring activities
• Provide knowledgeable recommendations to businesses for control improvements
• Ensure key regulations and key regulatory changes are captured in assigned testing programs
• Participate in business initiatives as assigned
• Proactively contribute to team processes and projects
• Seek process improvements and more efficient ways to deliver value to our businesses
• Lead testing engagements and review the work of other testers
MUST HAVE:
• 4+ yrs Risk Analyst exp
• Exp. with significant controls testing / Audit exp.
• Exp. with Audit or Compliance testing
• Able to read & interpret regulations & understand how they impact business partners
• Exceptional communication skills (able to draft superior quality analyses)
• Accounting designation (i.e. CPA, CA) or Audit Designation (CIA)
NICE TO HAVE:
• Exp. from financial industry, (Compliance & Wealth)
• CSC / CPH and other relevant industry courses
ADDITIONAL SKILLS:
• Ability to work independently, apply critical and strategic thinking to issues and make timely decisions
• Strong problem solving skills and ability to recommend value-added solutions
• Strong relationship management skills and ability to work effectively within both enterprise and business level project groups
• Strong collaborative skills and experience partnering with business units
• Ability to manage multiple deadlines and priorities