Director, Compliance Internal Audit

Job Description

TheDirector, Canada and Enterprise Compliance Auditis a strategic leader within theGlobal Compliance Auditteam under theChief Audit Executive (CAE) Group. Reporting to theHead of Enterprise and Canada Compliance Audit, this is a new position and role that will drive assurance activities for theEnterprise Compliance portfolio, overseeingsecond-line 2A/2B Compliance and Privacy functions. As asolution-oriented leader, the Director combines deep expertise infinancial regulatory requirements(e.g., market conduct, business conduct, privacy, and consumer protection) with robustrisk management frameworks.

This high-visibility role is ideal for professionals passionate abouttransforming compliance and assurance practicesthrough strategic innovation. In this role you will partner with Global Audit leaders to shapeCompliance coverage strategiesacrossfirst and second-line audits, ensuring alignment with regulatory priorities, and develop a Compliance COE that serves as atrusted advisorto auditees, business platforms, and regional audit teams, fostering collaboration and proactive risk coverage globally.

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.
• Deep expertise in Canadian risk governance frameworks (i.e. OSFI E-13, Operational Risk framework, etc.) and regulatory compliance domains (i.e. market conduct, privacy, consumer protection, etc.).
• Knowledge and experience with audit planning including risk-based audit plan development, project management, report and issue writing, managing executive-level client meetings and relationships, and audit committee reporting / presentation preparation.
• Leadership and people management experience managing.
• Understanding of data analytics and technology, and demonstrated experience with incorporating into assurance work.
• 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 communitiesand achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissionsand 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:

37.5

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

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