Regulatory Compliance Audit Manager

2 days ago

Toronto, Ontario, Canada RBC - Royal Bank Full time

Job Summary

The Regulatory Compliance Audit Manager is a dynamic and adaptable leader who thrives in a fast-paced environment. As a subject matter expert in risk management, you will be responsible for supporting enterprise-level audit assurance projects, contributing to the development of continuous assurance and monitoring audit approaches, and developing the Audit's regulatory compliance Center of Excellence (CoE).

Key Responsibilities

  • Participate in the execution of risk-based Enterprise level regulatory compliance audit projects effectively and efficiently, while adding value and identifying opportunities for utilizing data analytics to improve processes.
  • Actively contribute to the development of continuous monitoring and continuous assurance to monitor and report key emerging inherent risk areas and weaknesses in control environment.
  • Support the development of Compliance CoE, remaining abreast of regulatory changes to provide effective advisory support to first business audit teams in covering first line Compliance controls relevant to their business, and 2nd line audit teams on regulatory compliance program testing (under OSFI E13 Guidelines).
  • Support the development and maintenance of Standard Audit Programs which is aligned to OSFI E13 Guideline ensuring consistent and complete audit testing of regulatory compliance management program across all regions and segment.
  • Support the development of learning programs to educate broader audit department on emerging regulatory changes across various business segments (i.e., Personal Banking, Capital Markets, Wealth Management)
  • Proactively initiate discussions and solutions to new opportunities, challenges and approaches, and challenge status quo.
  • Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit

Requirements

  • Strong emotional intelligence, leadership skills to motivate and deliver in a team engagement environment, and ability to multitask, prioritize and adapt to fast changing environment
  • 3+ years of experience in risk management, regulatory compliance management in a large financial institution, professional consulting/accounting firm, internal audit, or a compliance/regulatory environment. University degree (e.g. business, accounting, legal)
  • Excellent written and verbal communication skills and demonstrated critical thinking.
  • Knowledge of key regulatory compliance regulations (at minimum Canadian (OSFI) (i.e., E-13 Regulatory Compliance Management Guideline), US and UK regulations in the financial services industry)
  • Intermediate experience building, using and interpreting data extracts, data visualization and reporting (Tableau), and analytical skills.

Preferred Qualifications

  • Professional designation (e.g. accounting, audit, financial crimes, risk management certifications)
  • Post-graduate degree (e.g. P. Eng., MSc - Data Science)
  • Experience in an audit lead role

What's in it for you?

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

  • A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
  • Leaders who support your development through coaching and managing opportunities
  • Work in a dynamic, collaborative, progressive, and high-performing team
  • Opportunities to do challenging work
  • Flexible work/life balance options

Job Skills

Adaptability, Auditing, Commercial Acumen, Communication, Detail-Oriented, Internal Controls, Interpersonal Relationship Management, Long Term Planning, Results-Oriented

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