Director, Chief Control Office

5 months ago

Toronto, Canada Royal Bank of Canada Full time

**Job Summary**

**What is the opportunity?**

The Chief Control Office is a 2nd line of defense assurance team reporting into Finance designed to add value and improve RBC’s financial control environment and reporting process. It provides SME advice, enabling RBC to achieve its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes around across the Bank which impacts the financial statements. The incumbent will manage/support these activities across the organization, with responsibilities split by line of business (e.g., P&CB, WM, Ins and Tax versus Capital Markets and Corporate Treasury) and areas of specialty (e.g., Financial Control Transformation versus enterprise education and training).

The Director will elevate the global presence of the SOX (Sarbanes-Oxley Act) Office by providing best in class advice, tools and challenge function to strengthen RBC’s controls over financial reporting; provide strategic enterprise recommendations on risk and control identification that can strengthen RBC’s broader financial control environment; and leverage financial control expertise, manage and support the transformation as it pertains to SOX to ensure sound financial stewardship and excellence in controls and governance.

**What you will do?**

**1) **Execute the strategy and directs the implementation to strengthen RBC’s broader financial control environment by globally elevating the SOX Office to be a valued advisor and challenge function as a 2nd Line of Defense team. Responsibilities include:

- Enhance the RBC SOX 404 / NI 52-109 methodology, program and documentation (including: testing, enterprise oversight of financial reporting risk assessments and maintenance of data, oversight of testing progress and status of financial reporting control deficiencies; and data analysis related to the management of the conclusion of financial reporting of control deficiencies).
- Provide advice as it relates to trends in risk and control issues to senior management on the results of ongoing reviews of relevant areas.
- Critically assess and challenge the key risks and controls identified to ensure RBC has the appropriate level of risk mitigation for financial reporting purposes in order to create efficiency while maintaining solid controls.
- Support and provide oversight and guidance for the quarterly SOX certification process
- Interpret and provide guidance based on SEC guidance and Public Company Accounting Oversight Board (“PCAOB”) standards to different control groups across lines of business and Corporate functional areas.
- Lead the design and implement a quality review process to ensure documentation and testing standards meet RBC expectations.

**2)** Provide strategic advice to the broader Enterprise Financial Control function by elevating RBC’s global capability and awareness of:

- Risk identification related to financial reporting (includes regulatory reporting, legal entity reports, and external financials);
- Advice and challenge in regards to development and maintenance of controls aligned with risk assessment and appetite, especially related to change management projects,
- Improved standardized reporting and issue management of control deficiencies to drive action; and
- Continuous improvement and identification of additional opportunities for efficiencies and excellence in controls and governance.
- Identifying and building opportunities to streamline and standardize RBC’s risk and control structure as it pertains to financial reporting through standardized process documentation and common tools especially in regards to change management projects.
- Building and implementing a financial control framework for data that leverages the CDO’s enterprise framework, tailored to address financial reporting risk (including SOX)
- Providing best practices in the industry for SOX office oversight and governance to identify and implement opportunities to improve our policies, procedures, training and education and governance as well as issue management practices.

**What you need to succeed?**

**Must Have**
- CPA/CA and graduate degree in business or related discipline
- 5+ years' Financial Services related experience
- Strong technical knowledge of Sarbanes Oxley requirements including ITD/ITGCs.
- Experience as either an Internal or External Auditor or Data Governance role
- Ability to communicate with and advise senior stakeholders
- Deep knowledge of key financial metrics, operational risk, the control environment, and regulatory policies
- Proven project & business execution skills
- Strong knowledge on and broad experience in financial products, risk management, with specialization in banking and business processes, internal controls, and industry best practices and regulatory requirements
- Deep understanding of operational risk, governance, and the control environment
- Strong leadershi

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