Senior Risk Management Specialist
4 weeks ago
At CI Financial, we're committed to creating a safe and inclusive work environment where everyone has a voice. We're seeking a skilled professional to join our team as a Senior Analyst, Internal Controls. In this role, you'll play a critical part in enhancing our overall control environment through the development and testing of Internal Controls over Financial Reporting and our Board-approved internal audit plan.
Key Responsibilities:
- Assist with planning, coordinating, and executing all phases of NI 52-109 compliance.
- Conduct audit scoping and risk assessments.
- Develop and evaluate controls, including risk and controls matrices and process flowcharts.
- Ensure 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 these 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 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.
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