Financial and Operations Compliance Examiner

2 weeks ago

Montréal, Canada Investment Industry Regulatory Organization of Canada (IIROC) Full time

**Position Title: Financial and Operations Compliance Examiner**

**Department: Financial and Operations Compliance**
**Location: Montreal**
**Status: Permanent Full-time (Hybrid)**
The Examiner is accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework.
**Key Responsibilities**:

- Perform complex field examinations of the operations of assigned member firms.
- Based on the examination assignment given by the Manager, performs preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers
- Plan the examination of a Member firm. This includes performing a risk evaluation of the Member and determining the necessary customization to the standard examination procedures and/or scope. The revised program is reviewed by the responsible Manager, and is approved by the Director
- Review complex financial and/or management procedures to evaluate the adequacy of internal controls
- Interview staff involved in performing the procedures
- Develop documentation describing the workflow; identify desired control objectives (based on defined minimum requirements; identify how control objectives are being met; evaluate risk potential, as required
- Ensure compliance with minimum audit requirements prescribed under IIROC rules and policies

**Education and Experience**:

- Chartered Professional Accountant designation
- Combined 2-3 years’ experience in the financial sector audit practice of a national accounting firm and enterprise risk management consulting practice, or similar risk management experience at a large financial institution
- Completion of the Canadian Securities Course, an asset

**Key Skills and Competencies**:

- Bilingualism
- Excellent understanding of how to document business processes, identify related internal controls, and develop appropriate compliance tests
- Solid understanding of the objectives of the examination process
- Strong audit and examination techniques, (interviewing, documentation, development of test plans to identify the scope and extent of required testing)
- Superior knowledge of the Canadian Auditing Standards and International Financial Reporting Standards
- Knowledge of Enterprise Risk Management practices in place at large financial institutions
- Ability to communicate complex matters both orally and in writing, in a clear, concise, complete, courteous, and logical manner to ensure Members’ understanding and responsiveness
- Ability to detect, analyze, and evaluate complex deviations, deficiencies, and non-compliance with IFRS, internal control objectives, rules and policies

New SRO is committed to employment practices that are inclusive and accessible. Accommodations for individuals with disabilities are available. Should you require accommodation, please contact Human Resources.
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