Finance & Accounting - Auditor

1 month ago

Montréal QC, Canada Canadian Investment Regulatory Organization Full time

Financial and Operations Compliance Examiner (ID)

Financial and Operations Compliance
Permanent Full-time (Hybrid)
The Examineris accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework.
Perform complex field examinations of the operations of assigned member firms.
Based on the examination assignment given by the Manager, performs preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers
This includes performing a risk evaluation of the Member and determining the necessary customization to the standard examination procedures and/or scope. Review complex financial and/or management procedures to evaluate the adequacy of internal controls
identify desired control objectives (based on defined minimum requirements; identify how control objectives are being met; evaluate risk potential, as required
Ensure compliance with minimum audit requirements prescribed under CIRO rules and policies
Combined 2-3 years’ experiencein the financial sector audit practice of a national accounting firm and enterprise risk management consulting practice, or similar risk management experience at a large financial institution
Completion of the Canadian Securities Course, an asset
Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
Solid understanding of the objectives of the examination process
Strong audit and examination techniques, (interviewing, documentation, development of test plans to identify the scope and extent of required testing)
Knowledge of Enterprise Risk Management practices in place at large financial institutions
Ability to communicate complex matters both orally and in writing, in a clear, concise, complete, courteous, and logical manner to ensure Members’ understanding and responsiveness
Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with IFRS, internal control objectives, rules and policies
CIRO is a pan-Canadian organization that oversees all investment dealers and trading activity in marketplaces across Canada. Accordingly, proficiency in both official languages of Canada (French and English) is needed. Due to the frequent interactions with internal and external English-speaking members, clients, representatives, firms, Canadian provincial and territorial securities regulators, and employees situated outside of Quebec, the position requires a fully bilingual candidate.
Accommodations for individuals with disabilities are available.

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