Compliance Branch Auditor Jobs

Identifies and escalates all irregularities and discrepancies to management and compliance as per guidelines.

Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.

Broader work or accountabilities may be assigned as needed.

Typically between 3 - 5 years of relevant experience and post-secondary degree in the Financial Industry

Branch Compliance Officer (BCO) certification - must be completed or in progress (must be completed within 6 months).

Verbal & written communication skills - Excellent

Good organisational skills to enable you to effectively prioritise and manage your workload

Testing accuracy of customers' financial accounting and tax liabilities

There may be a requirement for occasional travel with some overnight stays. Some roles may require more frequent travel

Good verbal and written communication skills

Video Interview - This will contain questions on Technical skills (focussed on data interrogation), Behaviours and Strengths

testing accuracy of customers' financial accounting and tax liabilities

Support risk management activities in Canadian P&BB Business Units i.e. issue management, control documentation, reporting

Exposure to Risk Management, Audit, Compliance or Operational Risk

3-5+ years of experience working in Banking Compliance, specifically in Personal and Commercial banking realms

Previous experience in compliance or operational risk control testing

Detailed knowledge of the Bank Act and Consumer Protection regulations

Proven experience with testing - whether in operations, risk or compliance risk audit testing

Demonstrated and proven project management or coordination skills

Knowledge of US GAAP, International Financial Reporting Standards (“IFRS”), SOX regulatory requirements is an asset

Experience managing business process testing with a good understanding of ITGC’s and application controls

Strong verbal and written communication and presentation skills

Strong influencing skills: ability to present points of view effectively and gain support for their position

Experience working with growing organizations with changing needs and multiple complex business transactions

•Prepare weekly and monthly ad-hoc reporting summaries of follow-ups and deficiencies to compliance management.

•Participate in the development and delivery of educational materials and programs to registered Advisors.

oWill at a minimum require Branch Manager Designation

oAdditional proficiencies may be required depending on legislation requirements

Minimum 2 years with a mutual fund or securities license, Branch manager course

Example: Excellent verbal and written communication skills, good computer skills