Manager, Regulatory Compliance Audit

RBC•Toronto, ON

4d•Onsite

About The Position

The Manager Regulatory Compliance Audit is a curious, dynamic, adaptable, solution-oriented leader and self-starter. As a member of the Regulatory Compliance Internal Audit (third line of defense) team that is a subject matter expert in risk management with knowledge of regulatory compliance management, you will be supporting enterprise level audit assurance projects, contributing to development of continuous assurance/monitoring audit approaches leveraging data analytics and data visualization, and development of Audit’s regulatory compliance Center of Excellence (CoE). You will also act as a trusted advisor to auditees and business platform/regional audit teams globally.

Requirements

3+ years of experience in risk management, regulatory compliance management in a large financial institution, professional consulting/accounting firm, internal audit, or a compliance/regulatory environment.
University degree (e.g. business, accounting, legal)
Excellent written and verbal communication skills and demonstrated critical thinking.
Experience building, using and interpreting data extracts, data visualization and reporting (Tableau), and analytical skills.

Nice To Haves

Professional designation (e.g. accounting, audit, financial crimes, risk management certifications)
Knowledge of key regulatory compliance regulations (at minimum Canadian (OSFI) (i.e., E-13 Regulatory Compliance Management Guideline)
Post-graduate degree (e.g. P. Eng., MSc - Data Science)
Experience in an audit lead role

Responsibilities

Participate in the execution of risk-based Enterprise level regulatory compliance audit projects effectively and efficiently, while adding value and identifying opportunities for utilizing data analytics to improve processes.
Actively contribute to the development of continuous monitoring and continuous assurance to monitor and report key emerging inherent risk areas and weaknesses in control environment.
Support the development of Compliance CoE, remaining abreast of regulatory changes to provide effective advisory support to first business 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).
Support the development and maintenance of Standard Audit Programs which is aligned to OSFI E13 Guideline ensuring consistent and complete audit testing of regulatory compliance management program across all regions and segment.
Support the development of learning programs to educate broader audit department on emerging regulatory changes across various business segments (i.e., Personal Banking, Capital Markets, Wealth Management)
Proactively initiate discussions and solutions to new opportunities, challenges and approaches, and challenge status quo.
Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit