Deliver on components of the 1LOD testing plans in accordance with the Enterprise Compliance Program and Regulatory Compliance Non-Financial Risk Framework.
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Execute the 1LOD testing program and document results and outcomes as required.
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Understand the Enterprise Compliance Program and Regulatory Compliance Non-Financial Risk methodology.
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Design and implement specific monitoring and testing procedures for each applicable area of review, which may include the development of new monitoring and testing scripts.
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Understand business processes across multiple entities in North America.
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Understand controls that support regulatory compliance and manage other sources of regulatory compliance non-financial risk.
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Access and update the enterprise compliance book of record GRCE.
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Communicate M\&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, and 2LOD Risk.
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Raise compliance and control-related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risk. For issues identified, provide root cause analysis and recommendations to management.
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Identify opportunities to improve the effectiveness of testing.
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Act as a liaison and compliance support to various internal business partners.
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Prepare reports and related test results dashboard for various stakeholders, including management.
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Qualifications:
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7 years' experience in a compliance, control testing, or audit role ideally in a dealer and/or portfolio management environment.
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Knowledge and understanding of IIROC rules and regulations applicable to dealer representatives and OSC rules applicable to portfolio managers and investment fund managers.
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Excellent data analysis skills, organizational, analytical, and communication skills.
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Exhibit strong planning skills.
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Successful completion of the Canadian Securities Course is preferred.
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Working knowledge of information technology tools required, including MS Excel, MS Word, and portfolio management or investment industry software.
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Ability to demonstrate effective use of judgment, interpretation, knowledge, and skill in the application of regulations and compliance requirements.
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Ability to independently deliver on complex assignments with competing deadlines.
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Excellent interpersonal skills and strong written and verbal business communication skills.
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Familiarity with regulatory requirements (e.g., OSC, IIROC, SEC, OCC, etc.).
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Familiarity with Investment Funds (key regulations include NI 81-102, 81-107, etc.).
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Experience in the planning and execution of testing (e.g., Audit, OSFI E-13, etc.).
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Understanding of risk and controls.
