Director, Regulatory Compliance Internal Audit

Job Description

What will you do?

• Audit Planning using a risk-based approach lead the end-to-end planning, execution and assesses the effectiveness of key risk management practices within Regulatory Compliance second line of defense.
• Lead a team of Sr. Managers and Managers delivering on regulatory compliance audit plan and developing future talent while maintaining a positive, collaborative and growth-oriented team mindset.
• Working closely with internal clients at all levels in developing audit findings, audit reports and recommendations regarding business process optimization, implementing regulatory compliance management program, internal control, and compliance.
• Lead the development of Compliance CoE, remaining abreast of regulatory changes to provide effective advisory support to audit teams in covering first line Compliance controls relevant to their business, and 2nd line audit teams on regulatory compliance program testing (under OSFI E13 Guidelines).
• Develop and maintain Regulatory Compliance Standard Audit Programs and training programs for auditors across the CAE Group to upskill regulatory knowledge.
• Lead the development of continuous monitoring and continuous assurance using data analytics to monitor and report key emerging inherent risk areas and weaknesses in control environment.
• Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit.

What do you need to succeed?

 Must-Haves: 

• 7-10 years of experience in a financial institution, professional consulting/accounting firm or regulatory compliance. Including experience in audit with leadership and people management responsibilities.
• Demonstrated expertise and deep knowledge of audit including risk-based audit plan development, engagement management, report and issue writing, managing executive-level client meetings and relationships, and audit committee reporting / presentation preparation.
• Strong understanding of risk governance frameworks (i.e. OSFI E-13, Operational Risk framework, etc.) and regulatory compliance (i.e. market conduct, privacy, consumer protection, etc.).
• Understanding of data analytics and technology, and demonstrated experience with incorporating into assurance work including testing and risk assessments.
• University degree (e.g. business, accounting, legal).

Nice to have:

• Professional designation or Master's degree (e.g. CPA, CIA, regulatory compliance certifications).
• Experience with regulatory issue validation in a large financial institution.

What's in it for you? 

We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities and achieving success that is mutual. 

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions and stock where applicable.
• Work with and learn from our extensive global network of people, including risk management professionals, data scientists, researchers, and various subject matter experts.
• Leaders who support your development through coaching and managing opportunities.
• Opportunities to do challenging work.

Job Skills

Adaptability, Auditing, Detail-Oriented, Internal Controls, Interpersonal Relationship Management, Long Term Planning, Multi-Level Communication, Organizational Savvy and Politics, Results-Oriented

Additional Job Details

Address:

20 KING ST W:TORONTO

City:

Toronto

Country:

Canada

Work hours/week:

Employment Type:

Full time

Platform:

INTERNAL AUDIT

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

Application Deadline:

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Inclusion and Equal Opportunity Employment

At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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