Vice President, Audit Professional Practice
2 months ago
Requisition ID: 210329
Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture.
**Purpose**
Oversees and leads a team of audit experts responsible for internal audit activities, effective quality assurance, reporting, regulatory and accounting research, audit automation, and training methodology standards for the Bank globally in support of Internal Audit executing its global mandate.
Accountable for implementing internal controls (including Privacy), risk management and governance processes and ensuring these are adequately designed, implemented, and operating effectively for Internal Audit to fulfill its role as third line of defence. Accountable for Audit Department technology, budget, and human resources support.
Leads the Audit Data and Analytics functions that provide data sourcing, governance, and analytics support to audit teams globally. The VP is responsible for developing the broader data and analytics strategy to further streamline and centralize the data acquisition process, ensuring scaling of innovation across the department.
**Accountabilities**
- Leads and drives a customer focused culture throughout their team to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Accountable for annual planning strategy, development, communication and approval, risk assessment and objective setting, ensuring alignment with the Bank’s risk profile and businesses. Ensures that the latest industry standards and regulatory requirements are incorporated to keep the Plan current and robust through on-going monitoring and research.
- Develops, implements and supports appropriate risk-based methodology strategy and standards to meet the Bank’s and regulatory standards through each of the audit teams across Canada and internationally, including quarterly reporting and other communication across the functions globally to Bank executive and the Board of Directors. Supports compliance to Audit regulatory and governance requirements and management of regulatory and compliance issue closure review processes.
- Leads Quality Assurance team in review of audit work conducted for all audit teams. This includes review of higher risk reports, thematic /functional reviews and coordinating external review resources as required. It also includes tracking of remediation of issues identified and contribution to the continuous improvement of the Audit Department.
- Leads compliance function for audit ensuring that regulatory requirements are tracked and met as required. This includes tracking closure of regulatory issues raised for Audit to remediate and validating closure of issues raised throughout the Bank by the respective regulators with liaison to the Compliance Department. Also ensures Employee Monitoring, Conflicts of Interests and compliance with the IIA Code of Ethics are monitored and actioned.
- Leads and oversees the design, development, and implementation of the data and analytics audit framework to identify emerging risks and support Auditors in audit engagements.
- Leads HR support initiatives within Audit including new employee onboarding, transfers, etc. and facilitate effective resource utilization across Audit by understanding the skills, knowledge, experience and development needs of employees in each of the units. Lead administrative support team for Audit team in Canada.
- Ensures financial budget expenses are administered appropriately and tracked and budget concerns are escalated appropriately. This includes expense and invoice review and administration for Audit operations for Canada, U.S., Asia, Europe and coordination of budgets and expenses with Latin America Audit teams.
- Creates an environment of continuous improvement by seeking out best practices globally and implements cost effective audit techniques. Leads and drives development, implementation, training and ongoing support of a consistent audit methodology across all business units globally. Provide processes, methodology and training to support components of the audit cycle across the Audit function globally. Ensure consistent methodology is developed, tested and communicated to support objectives being met.
- Directs day-to-day activities in a manner consistent with the Bank’s risk culture and the relevant risk appetite statement and limits. Communicates the Bank’s risk culture and risk appetite statement throughout their teams.
- Creates an environment in which their team pursues effective and efficient operations of their respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Code of Conduct.
- Builds a
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