Toronto, Ontario, Canada
Audit Manager | Compliance Manager Audit and Compliance management/ 10+ years of promoting best in class operational / internal audits with major Canadian Banks. Control Risk Assessments Control Documentation Design/Operational Deficiencies Pro-active leadership characterized by ability to adapt quickly to new situations, for resilient interpersonal skills that include change management and conflict resolution, and for championing a team’s ability to meet corporate goals by sharing expertise with stakeholders and colleagues. Exceptional ability to identify key risk deficiencies, gaps and exposures, and provide management with reasoned, strategic, best in class recommendations for effective resolutions. Deep knowledge of banking lines of business, financial and non-financial controls relating to Sarbanes Oxley certification process and COSO enterprise risk management and internal control framework; rich understanding of audits, governance, semi-annual and annual attestations, and conducting Business Continuity Plan assessments. Key Qualifications: Audit planning – Audit execution – Audit reporting – Assessment of risk & control – Ensuring regulatory compliance – Compliance audits – Sarbanes Oxley – SOX controls – Internal audits – Process testing – EUC procedure documentation, testing – Spreadsheet-based programs - Audit documentation systems, specific to individual Banks.
Responsible for documentation and testing of key operational and compliance controls for six branches and four operational departments including; Settlements, Wealth Management Services, Document Management, and Credit and Risk Monitoring.
Member of Board of Directors; functions include review and approval of Financial Statements and review and approval/disapproval of major corporate activities/ Corporate Governance.
• Responsible for documentation and implementation of Standards of Documentation for Capital Markets. Responsible for identifying, documenting and testing of EUCs for Capital Markets Finance Control Group
Responsible for identification, documentation and testing SOX controls for Asset Administration and Corporate Trust; Revenue, Receivables, Cash and Collections cycles and Assets under Administration calculations and reporting.