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Senior Manager, Internal Control & Audit

Employment Status
Permanent Full-Time
Location
Toronto, ON
Department
Risk & Compliance
Reporting To
Vice President, Risk
Job Id
CPL - 085
Job Level
L5
Seniority Level
Mid-Senior Level
Position Overview

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

Duties & Responsibilities
  • Work with management to enhance, advance, and manage the enterprise audit program with a risk-based approach
  • Liaise with IIROC and the OSC on branch and head office audits and reviews, collect and collate data, coordinate meetings, review data, draft audit response letters, and coordinate remediation action plans
  • Conduct internal audits including branch audits, assessable business, and operational units’ audits and thematic reviews
  • Proactively communicate and discuss findings with Management to address issues in a timely manner
  • Prepare reporting to Management Risk Committees and Board
  • Draft and complete audit reports for distribution and presentation, gain buy-in to results and action plans from affected stakeholders
  • Conduct special audits for locations or areas of the firm that require a focused review
  • Book reviews (spot audits) of Investment Advisors identified as higher risk
  • Maintain complete audit files for record-keeping purposes
  • Other duties as assigned to support the wider risk-management mandate
Skills & Qualifications
  • Audit, Compliance, or Operations experience in an IIROC dealer environment
  • Team leadership, management, and coaching skills
  • 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
  • Capacity to engage with stakeholders across the firm and build consensus
  • Ability and willingness to travel within Canada, at times on short notice
Education
  • University or College Degree/Diploma desired
  • Canadian Securities Course (CSC) required
  • Branch Manager’s Supervision course or equivalent branch operations experience preferred
  • Risk Management or Audit Management Certificate an asset
  • Conduct and Practices Course (CPH) an asset
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