Senior Internal Controls Specialist

4 weeks ago

Toronto, Ontario, Canada CI Financial Full time

At CI Financial, we are seeking a highly skilled professional to enhance our control environment through the development and testing of Internal Controls over Financial Reporting and the Board-approved internal audit plan.

Key Responsibilities:

  • Assist with planning, coordinating, and executing all phases of NI compliance.
  • Assist with audit scoping and risk assessments.
  • Perform documentation, including risk and controls matrices and process flowcharts, and evaluate controls.
  • Ensure that controls are properly designed for all in-scope processes and global entities.
  • Review documentation of results of testing.
  • Perform testing, including design and operating effectiveness testing, and work with management to ensure remediation of control deficiencies.
  • Provide technical guidance and advice to control owners for remediation of internal control gaps.
  • Ensure any control gaps are remediated and re-tested by year-end.
  • Continuously evaluate current sets of in-scope controls and recommend ways to rationalize and optimize controls through automation.
  • Consult on new business initiatives, accounting policy changes, personnel changes, and acquisitions and assess the impact of the changes on internal controls.
  • May be required to assist in the coordination and receipt of SOC1 and SOC2 reports from third-party providers; completed SOC report assessments; and work with management to identify and document controls necessary to rely upon such reports.
  • Liaise with External Audit and proactively coordinate the audits to ensure coordination of the PBC request process to minimize the impact on the business and align test results.
  • Support the preparation of material, presentations, and other documentation as required for periodic management and Audit Committee meetings.
  • Facilitate the coordination of quarterly business sub-certifications to support the CEO/CFO certification filing.
  • Provide internal controls training to control owners.
  • May be required to assist operational internal audits.

Requirements:

  • Good understanding of risks and controls for Business Processes.
  • Detail-oriented and able to work well under pressure and accustomed to project work with tight deadlines.
  • Creative, self-starter, quick thinker, and dedicated individual who is eager to put their stamp on this job role.
  • Qualified professional accounting designation or CIA is an asset.
  • 5+ years of experience in Public accounting or internal audit background with a strong focus on NI 52-109/SOX ITGC's.
  • Solid understanding of ICFR/SOX and internal control concepts (e.g., COSO).
  • Proven ability to lead audits and manage audit teams.
  • Experience at a financial services firm is an asset.
  • Hybrid work arrangement.
  • Overtime may be required to meet deadlines.

Knowledge, Skills, and Abilities:

  • Strong written and interpersonal skills.
  • Knowledge of internal auditing standards, procedures, techniques, and internal controls.
  • Knowledge of asset/wealth management and financial services is an asset.
  • Knowledge of the COSO Internal Controls Framework.

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI.

What We Offer:

  • Modern HQ location within walking distance from Union Station.
  • Flexible and Hybrid Work Program.
  • Equipment Purchase Program.
  • Training Reimbursement.
  • Paid Professional Designations.
  • Employee Share Purchase Program (ESPP).
  • Corporate Discount Program.
  • Enhanced group benefits.
  • Parental Leave Top–up program.
  • Fitness membership discounts.
  • Volunteer paid Days.
  • Complimentary vending machines.

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

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