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Senior Manager, Internal Audit
2 weeks ago
Shinhan Bank Canada (SHBC) is part of the global Shinhan Financial Group, one of South Korea's leading financial institutions. At SHBC, we provide a full range of financial services including everyday banking, mortgages and loans - delivered with deep local expertise and global insight.
The
Senior Manager, Internal Audit will be responsible for leading the planning, execution, and reporting of operational, regulatory, and other internal audits. This role involves assessing the adequacy, effectiveness, and efficiency of internal controls and business operations. The individual will oversee the full audit lifecycle, including process documentation, evidence analysis, and issue identification, to ensure compliance and support continuous improvement across the organization.
Key Responsibilities & Accountabilities
- Lead end-to-end audit projects, including large complex audit projects, either independently or by overseeing other team members. Includes all aspects of Audit Engagement such as Audit Planning (also Risks Assessments), Fieldwork (including meeting documentation standards as per IIA), Issue Discussions, Reporting, Post Audit Issue Follow Up, Issue Validation
- Maintain in-depth audit and business knowledge and act as a SME in promoting ongoing assessment of Bank' processes with regulatory expectations, and industry best practices and standards.
- Thorough understanding and experience of first line Audit projects such as deposits and lending activities specifically as it relates to residential and commercial real estate, capital, liquidity.
- Thorough understanding and experience of second line Audit projects related to monitoring and oversight provided by the second line. Risk Management and Compliance with applicable regulatory obligations, including Third Party Risk, Privacy, Anti-Money Laundering/Anti-Terrorist Financing, and Fraud Policy requirements,
- Undertake Audit Engagement Planning, Execution, and Reporting, Post-Audit Issue Follow ups, Administrative and Management Reporting Activities
- Undertake assessments of risks, control environments and apply the results in day to day audits
- Lead the planning, execution, and reporting of assigned audits
- Develop risk control matrices to summarize and assess the key risks, control objectives, and control activities and related test procedures
- Conduct and document end to end walkthroughs to assess the design effectiveness of key control activities and alignment with internal and external requirements
- Design and perform or guide the execution of test plans to assess operating effectiveness of control activities
- Ensure working paper documentation quality in accordance with IIA standards.
- Identify, assess, and document the root causes of any identified risk management control weaknesses
- Validate audit findings with the auditee
- Document clear, concise, and objective audit findings on the results of audit engagements, including recommendations that add value to the company
- In addition, to the audit findings, also have a mindset of suggesting solutions that result in operational efficiencies through time and cost savings
- Prepare clear, concise and objective internal audit reports and lead audit closing meetings with management
- Timely follow up and validate actions taken by management to remediate audit findings to ensure that they are effectively designed and appropriately implemented.
- Assist the Director and/ or Chief Internal Auditor in the preparation of periodic reports to the Audit Committee, senior management, CEO and the Parent Bank
- Develop and maintain effective working relationships with Internal Audit team members, other control and oversight functions, senior management and other stakeholders
- Identify and assess the impact on Audits of emerging issues in the regulatory and external environments to support internal audit engagements
- Maintain and share current and acquired knowledge of audit standards, tools and techniques
- Ensure completion of all company-wide regulatory, compliance and risk management training Special Projects
- Act as the SME on special projects and company-wide initiatives, as assigned by the Director and/ or Chief Internal Auditor
- Support the Director and/ or Chief Internal Auditor as required in special projects and ad-hoc request from the Board and/or Audit Committee, senior management, CEO (i.e. investigations, data analytics)
- Assist the Chief Internal Auditor/ Director in the development and coordination of the Bank's internal audit activities including annual audit plan based on risk assessment
- Assist Outsourced Internal Auditors and Parent Bank auditors in conducting audits
- Coordinate with the Bank's External Auditor with respect to the assessment of controls
- Assist regulators in conducting examinations
- Design and manage banking system (AITHER) audits (Head Office) including updates and amendments of audit items
- Monitor changes in the Bank's policies, procedures, systems and regulatory requirements
- Communicate with the Parent Bank Internal Audit Department
- Maintain Branch Internal Audit
- Conduct annual self-assessments and follow up with the Quality Assessment Improvement Program and participate in external quality assessments and reviews
Job Requirements
Education and Professional Requirements
- Bachelor's Degree in accounting, finance, business, risk management, auditing or other related field required and/or MBA
- CPA or CIA or an equivalent designation
Work Experience Requirements:
- 5-10 years of experience, ideally in the areas of audit in financial services
- Experience in auditing of Banks preferred
- Excellent research, critical analysis, investigative and organizational skills
- Strong knowledge of risk assessments, control environments and application of techniques in day to day audits
- Excellent verbal and written communication skills, including well developed listening and negotiation skills
- Strong stakeholder management and engagement, with ability to deal with conflicting points of view and to effect creative and responsive solutions
- Proven experience in executive level reporting, with advanced analytics capability
- Experience in audit methodologies and risk management principles applicable to a financial institution
- Knowledge of the regulatory environment and expectations within the Canadian financial services industry (i.e. OSFI, FINTRAC, FCAC)
- Strong preference given to individuals with end-to-end residential and commercial mortgage lending experience in the first and second lines.
At Shinhan Bank Canada, we are committed to creating and maintaining a diverse, inclusive and accessible workplace. We believe that a collaborative and diverse team strengthens our organization and reflects the communities we proudly serve. You will be supported and empowered to realize your full potential as we work together to shape the future of banking. Our recruitment process is designed to be fair and inclusive. If you require accommodation at any stage of the hiring process, please let us know - we will work with you to meet your needs.
Only candidates selected for an interview will be contacted.
