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Senior Analyst – Internal Control & Audit

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Risk and Compliance
Reporting To
Senior Manager, Internal Control & Audit
Job Id
CPL – 082
Job Level
L4
Seniority Level
Associate
Position Overview

The full-time position of Senior Analyst, Internal Control & Audit is responsible for supporting the firm’s risk management program, including business location audits, internal audits, and supporting the Senior Manager, Internal Control & Audit during regulatory audits and reporting, with a focus on criteria outlined in IIROC Policies and other regulatory/corporate guidelines.

Duties & Responsibilities
  • Contribute to the enhancement, advancement, and management of the enterprise audit program
  • In conjunction with the Senior Manager, Internal Control & Audit, conduct internal audits including branch audits, assessable business, and operational units’ audits and thematic reviews
  • Assist in the enhancement and sustainment of audit methodologies, policy and practices
  • Assist in audit scoping and planning, including planning for Branch Reviews
  • Coordinate the collection and compilation of information for regulatory audits and branch reviews, liaising with corporate and branch staff as appropriate
  • Collect and collate data required for the drafting of audit response letters and monitoring of remediation action plans
  • Monitor audit issue remediation and produce insightful reporting on key themes, root causes and opportunities for process or controls improvements
  • Assist in the preparation of reporting to Management Risk Committees and the Board;
  • Draft audit reports for review by the Senior Manager, Internal Control & Audit
  • Contribute to the maintenance and organization of audit files for record-keeping purposes
  • Support business partners in executing periodic risk and controls self-assessment
Skills & Qualifications
  • Compliance, Audit, or Operations experience in an IIROC dealer environment is preferred
  • Resourceful and independent with strong problem-solving skills
  • Excellent English communication skills, written and verbal
  • Proficiency in Microsoft applications (Excel, Word, PowerPoint, Teams)
  • Team player, customer-focused, and results-oriented
  • Ability and willingness to travel within Canada, at times on short notice
Education
  • University or College Degree/Diploma desired
  • Canadian Securities Course (CSC) is preferred
  • Compliance, Audit Management, or Risk Management certificates are an asset
  • Conduct and Practices Course (CPH) is an asset
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