Avp, Internal Audit, Asset Management

6 months ago

Waterloo, Canada Sun Life Full time

You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

**About the role**

Internal Audit contributes to the purpose and vision for the company by creating value through partnership, advisory and objective assurance. Reporting to the VP Internal Audit, Asset Management, this individual will support the VP Asset Management in the development and achievement of the Internal Audit Plan as it relates to Asset Management risks and controls globally (including SLC audits, Asia Investments Management). The AVP Internal Audit, Asset Management is responsible for the leadership and execution of audit engagements. The audit scope is broad and considers both first
- and second-line activities, as well as functions supporting the business such as Technology, Finance and Operations. This position will lead a team of approximately 9 auditors with 2 direct reports and is responsible for building relationships with senior leaders in the Asset Management business and across Internal Audit to execute on the strategy in a collaborative and engaged way. This leader, together with the team, will continually update the ongoing risk assessment of business processes within their scope and ensure the adequacy of audit coverage of key risks.

This role is based in Toronto and the individual will be expected to work in a hybrid environment (combination of virtual/remote and in the office).

**What you will do**
- Work with the business to understand the risks and emerging trends and support the VP Asset Management in developing a comprehensive risk based and cyclical Annual Audit Plan for the Asset Management business.
- Provide support to the VP Asset Management in leading the Asset Management teams globally (SLC audits, Asia Investment Management) with a focus on building and maintaining a high-performance team of auditors including the recruitment, administration, development, and retention of staff through strong leadership and coaching.
- Build relationships with senior stakeholders within the Asset Management business, including first
- and second-line leaders
- Provide leadership in discussions of risk assessment, internal control and audit findings with clients in the business
- Lead the team in conducting individual audit engagements including audits, targeted reviews, projects and continuous assurance, and drive timely completion of the annual audit plan
- Drive the team's efforts in building the continuous assurance program
- Review and approve internal audit workpapers and related documentation, including engagement letters, risk assessments and audit reports of findings and recommendations related to the processes and projects under review, to ensure quality, consistency and compliance with internal audit methodology
- Actively participate in meetings with auditees to help support a common understanding of risks inherent in the business process being audited as well as support clear communication of any recommendations for control improvement resulting from audit work
- Lead team in the management, monitoring and closure of open audit issues, working with business management and providing guidance in the remediation of open issues
- Maintain knowledge of Asset Management business developments for the purpose of continuously assessing risk in a business that is undergoing transformational changes.
- Influence management decisions and promote controls awareness to ensure that the Asset Management business maintains a strong control environment.

**What you will need to succeed**
- 10+ years of leadership experience with a focus on building and leveraging relationships with business leaders and key stakeholders as well as second line management
- 8+ years of experience with investment operations/products or asset management business and/or processes preferred.
- 5+ years of progressive experience in audit or relevant business function (e.g. Finance, Compliance, Risk, etc.) in the financial services industry.
- Experience in working in a matrix organization with multiple stakeholders.
- University degree in accounting, finance or business.
- Professional audit designation (e.g. CPA, CFA, CIA, CISA) preferred.
- Financial/mutual fund or securities designation (e.g. CFA, CSC) preferred.
- Ability to analyze data and provide direction to the Asset Management team in identifying opportunities to leverage data analytics in audit engagements
- Ability to understand complex investments business processes,

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