Regulatory Compliance Specialist
3 weeks ago
The Regulatory and Financial Audit Specialist plays a pivotal role in executing the compliance function mandate by assessing and supporting the ongoing development of various compliance activities, including Regulatory Compliance Management, Policy Management, and Internal Controls Over Financial Reporting (ICFR) programs.
This role contributes to the preparation of Management and Board level risk reporting, working closely with the Director, ERM Compliance, and other members of ERM and Business Units to provide subject matter expertise and promote a consistent and robust approach to internal controls, compliance activities, and policy development.
The Regulatory and Financial Audit Specialist will design, implement, and manage Definity's Regulatory Compliance Management, Policy Governance, and ICFR programs to assess the effectiveness of ICFR and compliance with relevant laws, regulations, regulatory standards, and reporting requirements applicable to Definity and its subsidiaries.
Key Responsibilities- Design test plans and testing of remediation activities for Regulatory Compliance Management program.
- Conduct testing of internal controls and procedures to demonstrate legislative and regulatory compliance in support of Chief Compliance Officer certification.
- Assess the design and operational effectiveness of supporting documentation and processes implemented for Policy Management and Governance Program.
- Identify and evaluate the implications of internal control deficiencies and develop recommendations for gap closure and continuous improvement.
- Provide input into the findings in the Management Letter of Representation (LoR) process and assist with preparing reports to management and board committees as required.
- University degree and achievement of a recognized professional designation/certification, such as JD/LLB/CPA/CMA/CGA/CA, Certified Information Systems Auditor, Certified Internal Auditor, etc.
- 5-7 years of experience, including 3+ years of audit and/or compliance oversight experience in a Legal/Accounting firm, Management Consulting, or a Public Company Internal function, ideally within the financial services industry.
- P&C Insurance experience considered an asset.
- Knowledge of risk management activities and policy development.
- Ability to build strong relationships externally and internally with people from all levels to help foster a positive risk management culture.
- Strong organizational and analytical problem-solving skills.
- Strong verbal and written communication skills.
- Proficient in Microsoft office products.
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