Senior Audit Consultant x 2
Typical Day in Role
o Executes audit engagements as per the Audit Plan and updates the Risk Assessment Database as required to ensure appropriate coverage
o Leads and participates in the audit coverage of Dodd-Frank Act Swap Dealer and Canadian regulatory audits and to develop standard audit programs for adequate and consistent approach to cover regulatory compliance
o Writes high quality audit reports within established timelines
o Validates audit findings and remediation milestones undertaken by management including project management activities
o Maintains a thorough understanding of US and Canada regulations. This includes keeping abreast of key industry developments, regulatory changes, and identifies key systemic issues (arising from audits globally) and internal changes that will impact the annual audit plan and/or quarterly Audit Committee reporting
o Executes the quarterly continuous monitoring program
o Maintains relationships with GBM Sales and Trading, GBM Compliance, and audit teams
o Develop tactical strategies for increasing the use of data analytics to drive effective annual planning / risk assessment, and engagement / project execution
• Works independently within the mandate of the Department, approved annual audit plan and with periodic consultation from the Director.
• Escalates issues impacting deadlines, risk, and material error.
• Identifies changes to the scope/extent of the audit based on initial research/audit findings and seeks input from the Director.
Candidate Requirements/Must Have Skills:
• 5+ years’ experience in Internal Audit in Capital Markets/Compliance
• 8-10 of Capital Markets Products and Regulations
• 8-10 years of experience with audit processes
• Internal or external audit background. Accounting designations / technical / professional qualifications (CPA, CFA, CIA etc.) will be an asset.
• Critical thinker and problem solver
• A self-starter, deals well with ambiguity, is detail-oriented
• Thrives in a dynamic team-oriented environment
Degrees or certifications:
• University degree in business, finance, economics, accounting or any other relevant area.