Director of Quality and Regulatory Affairs

3 weeks ago

Toronto ON, Canada Lannick Full time

Our client is a leading Canadian bank. They are looking for a Compliance and Controls Manager who’s responsibilities are executed in accordance with the bank’s risk management and compliance policy and oversight requirements.
Opportunity to build out the position and make it your own, all with the support from the Risk & Compliance
High level of visibility as you will be working very closely with the entire Finance team, Risk & Compliance team, and Internal Auditors (outsourced)
Our client is one of the fastest growing companies in Canada and were recently acquired by the Ontario Teaches Pension Plan
Strong management team with a lot of tenured leaders
Company often participates in community events
Managing and reporting on operational risk in Finance including accounting operations, internal and external reporting, and regulatory reporting
Implementation and documentation of internal controls, enhancing control descriptions, identification of control weaknesses and assisting in the remediation of deficiencies.
Perform testing on key controls and deliver timely reporting on New Initiative Risk Assessments (NIRA’s) to help ensure an effective and efficient internal control environment within Finance.
Collaborate and work closely with risk and compliance teams and other internal and external stakeholders on all elements of the risk and compliance management program.
Finance Risk Assessment and Compliance
Maintain, review, and update the repository of Finance policies, standards, operating procedures, and guidelines.
Ensure compliance with relevant financial regulations, accounting standards, and internal controls in all financial activities.
Ensure risk is being managed effectively while maintaining a customer and performance-oriented culture.
Review risk and compliance risk assessment reports for accuracy and completeness
Retain record of risk assessments, including documentation of any application of professional judgement
Monitor, coordinate and facilitate annual and trigger-based risk assessments across Finance to ensure timely completion.
Provide ongoing support to investigate and mitigate internal audit and regulatory risks and opportunities.
Identify risk trends and emerging risks across Finance and inform management and risk and compliance of the risk exposure.
Collaborate with risk and compliance teams on all elements of the company’s risk and compliance management program.
Support risk and compliance teams with third party risk management and vendor governance including onboarding, financial risk assessment, monitoring, and reporting.
Work closely and collaboratively with other risk oversight functions as well as internal and external auditors.
Manage and coordinate response to risk, compliance, internal audit, regulatory examinations or third-party independent reviews on behalf of management.
Recommend policy, procedure and control enhancements as required to address current and emerging risks
Controls Management, Testing and Reporting
Perform quality testing of Finance processes and internal controls.
Develop action plans to address identified issues and control gaps.
Implement action plans to remediate control gaps and monitor and report on progress.
Facilitate control assessments and liaise with compliance and risk to share control assessment findings.
Develop and maintain quality assurance testing plans and share testing plans, methodology and results with risk, compliance, and internal audit.
Perform quality assurance testing of adherence to enterprise-level requirements and business unit specific operating procedures.
Maintain record of quality assurance testing working papers and relevant reporting
Regularly consult management and review risk, compliance, and internal audit testing results to determine appropriate updates to the quality assurance testing plan.
Monitor status of action plans, report analysis, provide updates, and escalate key issues and incidents to management, risk, compliance, and internal audit.
Perform root cause analysis on issues to identify risk themes and trends.
Execute and report on existing and New Initiative Risk Assessments (NIRA) within Finance
Monitor and report on Key Risk Indicators (KRIs)
Manage and report on identified gaps and compliance issues.
Monitor and Report changes to the business profile and inform management, risk and compliance of changes.
Bachelor’s degree in finance, accounting, business administration, or a related field.
Experience in risk management or internal audit or regulatory compliance in the finance and accounting domain.

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