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Operational Risk Control Specialist

4 weeks ago

Toronto, Ontario, Canada Apex Systems Full time

Job Title: Operational Risk Control Specialist

Duration: 1 year contract

Job Description:

Deliver on components of the 1LOD testing plans in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework.

  • Execute the 1LOD testing program and document results and outcomes as required.
  • Understand the Enterprise Compliance Program and Operational Non-Financial Risk methodology.
  • Design and implement specific monitoring and testing procedures for each applicable area of review, which may include the development of new monitoring and testing scripts.
  • Understand business processes across multiple entities in North America.
  • Understand controls that support regulatory compliance and manage other sources of ONFR.
  • Access and update the enterprise compliance book of record GRCE.
  • Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, and 2LOD Risk.
  • Raise compliance and control-related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risk. For issues identified, provide root cause analysis and recommendations to management.
  • Identify opportunities to improve the effectiveness of testing.
  • Act as a liaison and compliance support to various internal business partners.
  • Prepare reports and related test results dashboard for various stakeholders, including management.

Qualifications:

  • 7+ years' experience in a compliance, control testing, or audit role, ideally in a dealer and/or portfolio management environment.
  • Knowledge and understanding of IIROC rules and regulations applicable to dealer representatives and OSC rules applicable to portfolio managers and investment fund managers.
  • Excellent data analysis skills, organizational, analytical, and communication skills.
  • Exhibit strong planning skills.
  • Successful completion of the Canadian Securities Course is preferred.
  • Working knowledge of information technology tools required, including MS Excel, MS Word, and portfolio management or investment industry software.
  • Ability to demonstrate effective use of judgment, interpretation, knowledge, and skill in the application of regulations and compliance requirements.
  • Ability to independently deliver on complex assignments with competing deadlines.
  • Excellent interpersonal skills and strong written and verbal business communication skills.
  • Familiarity with regulatory requirements (e.g., OSC, IIROC, SEC, OCC, etc.).
  • Familiarity with Investment Funds (key regulations include NI 81-102, 81-107, etc.).
  • Experience in the planning and execution of testing (e.g., Audit, OSFI E-13, etc.).
  • Understanding of risk and controls.