IT Internal Controls Compliance Manager
5 days ago
CI Financial is seeking a seasoned professional to join our team as a Manager, IT Internal Controls Compliance. As a key member of our Internal Audit and Controls team, you will play a critical role in enhancing the overall control environment at CI Financial.
Key Responsibilities- Develop and execute comprehensive IT internal controls to ensure the accuracy and reliability of financial reporting.
- Liaise with the Business IA Internal Controls team to update the IT scoping and risk assessment.
- Perform IT documentation, including risk and controls matrices and process flowcharts, and evaluate controls as new systems are developed or processes change.
- Ensure that IT controls are properly designed for all in-scope processes and global entities.
- Perform IT Application Controls and documentation of results of testing.
- Perform IT General Controls testing, including design & operating effectiveness testing, remediation test work, and roll-forward testing.
- Provide technical guidance and advice to control owners for remediation of IT-related internal control gaps.
- Ensure any IT-related internal control gaps are remediated and re-tested by year-end.
- Track and monitor overall IT General Controls assessment status for monthly and quarterly reporting to senior management.
- Continuously evaluate current set of in-scope controls and recommend ways to rationalize and optimize controls through automation.
- Consult on new business initiatives, system implementations, accounting policy changes, personnel changes, and acquisitions, and assess the impact of the changes on internal controls.
- 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 Internal and 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.
- Coordinate with internal and external auditors on the annual ICFR testing plan.
- Provide internal controls training to control owners.
- Perform limited assurance internal controls testing at non-SOX entities.
- Good understanding of risks and controls for both Business Processes and Information Technology.
- 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.
- CISA, CISM, CIA, and/or relative certification is required.
- 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, COBIT, ITIL, ISO).
- 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.
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 & 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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