Regulatory Compliance Audit Manager

3 days ago

Toronto, Ontario, Canada Royal Bank of Canada Full time

We are seeking a highly skilled Regulatory Compliance Audit Manager to join our team at Royal Bank of Canada. This role is based in Toronto, Canada and offers a competitive salary range of $125,000 - $160,000 per year.

About the Role

The successful candidate will be responsible for leading enterprise-level audit assurance projects, developing continuous monitoring and continuous assurance approaches, and supporting the development of the Compliance Center of Excellence (CoE). They will also act as a trusted advisor to auditees and business platform/regional audit teams globally.

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).
Requirements

To succeed in this role, you will require:

  • 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.
What We Offer

As a Regulatory Compliance Audit Manager at Royal Bank of Canada, you can expect:

  • 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
Company Overview

Royal Bank of Canada (RBC) is one of Canada's largest banks and a leading provider of financial services. With a strong commitment to innovation, customer service, and community involvement, RBC is a great place to build a career.

  • Lead Audit Manager for Regulatory Compliance and Risk Management

    1 month ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Senior Audit ManagerJob SummaryWe are seeking a highly skilled Senior Audit Manager to lead our Internal Audit team in Raleigh, NC. The ideal candidate will have extensive experience in audit management, regulatory compliance, and risk management in the banking industry.The successful candidate will be responsible for: Leading audits and special reviews to...

  • Director of Regulatory Compliance

    3 weeks ago

    Toronto, Ontario, Canada Bank of Montreal Full time

    Director of Regulatory ComplianceWe are seeking a highly skilled Director of Regulatory Compliance to join our team at the Bank of Montreal.This role will be responsible for leading the implementation and maintenance of first line of defense (1LOD) programs, collaborating with second and third line functions to ensure compliance and operational risks are...

  • IT Audit Manager for Regulatory Compliance

    1 day ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    We are seeking a highly skilled IT Audit Manager to join our team in Toronto, Canada. As an IT Audit Manager, you will be responsible for providing senior level support to the Director, US Functions IT and US Data Governance as well as Managing Director RBC US IT Audit.Job DescriptionThis role provides independent, objective assurance over the design and...

  • Regulatory Compliance Expert for Investment Firm

    4 weeks ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    Job Description:We are seeking a seasoned Compliance Specialist to join our team at Options Consulting Solutions in downtown Toronto. This is a unique opportunity to take on a leadership role in ensuring the firm's operations comply with relevant securities laws, industry regulations, and financial standards.Responsibilities:Conduct detailed market conduct...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    About Options Consulting SolutionsWe are a dynamic investment firm with a strong commitment to regulatory compliance and exceptional client service.Job DescriptionThe Compliance Officer will oversee the firm's regulatory programs, ensuring all operations comply with applicable laws, regulations, and internal policies. This includes market conduct review,...

  • Compliance Expert

    4 weeks ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    Job Title: Compliance Expert - Regulatory OversightAbout the Role:This is a senior compliance role with our client, an investment firm based in downtown Toronto. As a key member of their team, you will be responsible for overseeing the firm's regulatory and internal compliance programs, focusing on market conduct review, trade conduct, and Universal Market...

  • Compliance Officer Role with Regulatory Expertise

    12 hours ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    About the Job:We are seeking a seasoned Compliance Officer to join our team at Options Consulting Solutions in downtown Toronto, ON. This is an exciting opportunity for a proactive and goal-driven professional to oversee our firm's regulatory and internal compliance programs.Job Overview:The successful candidate will have 6+ years of compliance leadership...

  • Regulatory Compliance Specialist

    4 weeks ago

    Toronto, Ontario, Canada UnionPay International Full time

    At UnionPay International, we are seeking a highly motivated and experienced Regulatory Compliance Specialist to support our payment operations in Canada.**Job Overview**This is an exciting opportunity to join our team as a Regulatory Compliance Specialist, where you will play a key role in ensuring the company's compliance with regulatory requirements in...

  • Regulatory Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada VirgoCX Full time

    About Virgo GroupVirgo Group is a leading provider of cryptocurrency trading services across Canada, with a diverse business footprint that includes VirgoCX, VirgoCX Wealth, and Virgo Digital Asset Management. With a strong presence in Australia, the U.S., and other regions, we are poised to become an integrated global digital asset service provider.Our...

  • Senior AML Compliance Risk Manager for Enterprise Audit Projects

    4 weeks ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job DescriptionWe are seeking a Senior AML Compliance Risk Manager to lead enterprise-level audit projects and ensure the remediation of Financial Crimes regulatory issues. As a trusted advisor, you will work closely with regional and business platform audit teams to ensure adequate and risk-based coverage of Financial Crimes and AML risk in their...

  • Regulatory Compliance Lead

    2 weeks ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    Job Title: Regulatory Compliance Lead - Market IntegrityCompany Overview:Options Consulting Solutions is a leading investment firm with a strong reputation for navigating the market and providing exceptional service to clients.About the Role:We are seeking an experienced Regulatory Compliance Lead - Market Integrity to join our team. As a key member of our...

  • Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time

    About the JobWe are seeking a seasoned Compliance Officer to oversee our firm's regulatory and internal compliance programs, ensuring seamless alignment with market conduct review, trade conduct, and universal market integrity rules (UMIR). Key responsibilities include monitoring operations, transactions, and client interactions for compliance with...

  • Operational Risk Management Specialist

    3 weeks ago

    Toronto, Ontario, Canada Bank of Montreal Full time

    Job Opportunity:    Bank of Montreal is seeking an experienced Operational Risk Management Specialist to join our team in regulatory compliance.About the Role:    In this critical position, you will play a key role in ensuring the effective implementation of operational risk management practices across Wealth LOBs. You will be responsible for...

  • Regulatory Compliance Management Expert

    4 days ago

    Toronto, Ontario, Canada EQ Bank | Equitable Bank Full time

    At EQ Bank | Equitable Bank, we are committed to creating a new kind of banking experience for Canadians. As a leading fintech company, we prioritize innovation and customer satisfaction.The Senior Manager, Canadian Banking Compliance role is a key position in our Regulatory Compliance Management team. This individual will be responsible for ensuring...

  • Senior Audit Manager

    1 month ago

    Toronto, Ontario, Canada Royal Bank of Canada Full time

    The Royal Bank of Canada is a leading banking institution in North America, with a strong presence in the United States. As a Senior Auditor at RBC Bank, you will play a key role in ensuring the bank's compliance with US regulations and maintaining its risk management practices.**Job Summary:**We are seeking an experienced auditor to join our Internal Audit...

  • Regulatory Compliance Lead

    3 weeks ago

    Toronto, Ontario, Canada Options Consulting Solutions Full time $120,000

    **Job Description:**At Options Consulting Solutions, we are seeking a highly skilled Regulatory Compliance Lead to join our team in downtown Toronto. As a key member of our compliance team, you will be responsible for ensuring that our firm's operations comply with relevant securities laws, industry regulations, and financial...

  • Chief Compliance and Regulatory Affairs Officer

    4 weeks ago

    Toronto, Ontario, Canada VirgoCX Full time

    About Virgo GroupVirgo Group is a leading cryptocurrency trading platform in Canada, offering exceptional services across various aspects of crypto trading. Founded in 2018, the company has expanded its business presence to Australia, the U.S., and more. Rooted in a culture of continuous innovation, Virgo Group aims to become an integrated global digital...

  • Compliance Specialist, Regulatory Compliance

    4 weeks ago

    Toronto, Ontario, Canada Société Financière Manuvie Full time

    As a forward-thinking bank and trust company, Manulife Bank is committed to upholding the highest standards of regulatory compliance. We are seeking an experienced Compliance Specialist, Regulatory Compliance to join our team in Toronto, Ontario.The successful candidate will play a critical role in supporting the effective operation of our regulatory...

  • Compliance Leadership Position for Financial Regulatory Expert

    4 days ago

    Toronto, Ontario, Canada EQ Bank | Equitable Bank Full time

    At EQ Bank | Equitable Bank, we're a big believer in challenging the status quo to create a better banking experience for Canadians.We're looking for an experienced Compliance expert to lead our RCM Testing Program and drive regulatory compliance excellence across the organization.About the RoleThe Associate Director, RCM Testing will be responsible for...

  • Regulatory Compliance Specialist

    3 weeks ago

    Toronto, Ontario, Canada PearTree Canada Full time

    The Regulatory Compliance Specialist role at PearTree Canada is a key position that requires a deep understanding of securities regulatory compliance. With a strong focus on maintaining the firm's dealer registration and ensuring business operations adhere to relevant legal and internal rules, this individual will play a crucial part in upholding the...