Senior Financial Banking Auditor
2 weeks ago
Location Address: Hybrid - 44 King Street W, Toronto – 3x/week (Tuesdays are fixed, other days are flexible)
Contract Duration: ASAP to 12/31/2025 – approx. 8.5 months
Story Behind the Need
Business group: Audit, Retail Lending Operations - Domestic 2 - As the 3rd Line of Defence, Internal Audit provides enterprise-wide, independent, and objective assurance over the design and operations of the Bank's internal controls, risk management and governance processes.
Project: The Senior Audit Manager assists in executing audit activities for Canadian Banking in support of the Audit Department in executing on its global mandate, ensuring business strategies, plans and initiatives and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal policies, and procedures.
Assist with audits relating to automotive finance, deposits, and SOX. Potential to also assist on fraud audit.
Responsibilities:
- Execute assigned audit activities independently as a team member.
- Work with other audit teams as required.
- Carry out specific projects.
- Assess controls across the First Line of Defense, including financial controls, regulatory obligations, policies and procedures, underwriting, systems, and fraud management.
- Determine the efficiency, effectiveness, integrity, and reliability of internal controls in relation to defined control requirements, employing data analytics to support conclusions, where applicable.
- Gather audit results and determine the root cause of the problem.
- Prepare audit results and findings for presentation to management. Follow-up for corrective action/progress against any reported issues.
- Share relevant information that impacts other audit function areas.
- Execute and manage assigned activities independently in accordance with the Department Standards ensuring audit testing is sufficient and appropriate to support the audit opinion.
- Document all audit work performed to ensure appropriate working papers are maintained and conform to department standards.
- Ensure that bank standards and the Institute of Internal Auditors (IIA) Code of Ethics are maintained in completion of all assignments. Build and maintain strong relationships with internal stakeholders as required.
- Identify and assess materiality of control weaknesses ensuring facts are gathered and determine the root cause of the problem impact, prepare/review audit findings, as applicable.
- Draft audit findings and correspondence to management. Ensure writing is clear, concise, and accurate.
- Present and discuss findings and progress with management, as required.
- Perform and document audit issue tracking and testing.
- Develop and maintain good relationships with key auditee and business line management.
Must Have Skills:
- 10+ years in Retail Banking, Audit, Regulatory body, or related experience
- Experience with at least one of these: lending (automotive in particular); deposit products; key regulations/regulatory, including SOX
- 2+ years' experience with data analytics or visualization tools (e.g., Alteryx, PowerBI, Python) with larger data sets
Nice-To-Have Skills:
- Accounting designations / technical / professional qualifications, university/post-secondary degree in business, finance, economics, accountancy, or any other relevant experience (e.g., First Line testing, QAR, Audit, Compliance) would be an asset.
- Knowledge of audit processes and methodologies is preferable.
- Hands-on experience with underwriting, funding for reviews of files and applications to ensure policies and procedures are adhered to
Education:
Accounting designations / technical / professional qualifications, university/post-secondary degree in business, finance, economics, accountancy an asset though will accept relevant working experience instead.
Best VS. Average Candidate:
The ideal candidate will have 10+ years of experience in retail products (lending and deposits) and/or retail operations, knowledge of regulatory obligations (e.g., FCAC and the Bank Act) and financial controls (SOX), and be proficient in data analytics. The incumbent should also have good presentation and writing skills, and display a good balance between technical knowledge (technology) and soft skills. Should be able to hit the ground running on the audits. Hands-on experience with underwriting, funding for reviews of files and applications to ensure policies and procedures are adhered to would be an asset; Ability to check that regulatory obligations are mapped in the library and whether they are being satisfied, they should be able to find gaps in policies and procedures and regulations.
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