Lead Auditor Wealth Management Jobs

Ability to speak with Wealth Management business stakeholders and also collaborate and discuss requirements with technology stakeholders

5+ years of Wealth Management/Capital Markets experience; Understanding of Mutual Funds and related platforms such as Broadridge and FundServ

Experience working on CFR related regulatory projects as a BA in the Wealth Management domain

Wealth Management BA - Regulatory

6+ years of Business Analyst experience working at enterprise financial corporations

Experience with Agile Development Cycle

Experienced in Health and Safety and/or quality management representative roles.

Excellent understanding of Safety Management Systems and/or Quality Management Systems and the requirements associated with ISO 45001 and ISO 9001.

Lead audit team in developing audit reports; present audit reports to top management, as needed.

Certified Health and Safety or Quality Management Systems Lead Auditor

Evaluate processes for compliance with quality and legal requirements.

+8 years of experience in auditing environment (Health and Safety and/or Quality).

Minimum 5 years’ wealth management experience

Provide expert advice and solutions in financial planning – including investments, financial management, insurance planning, tax planning, and retirement planning.

Certified Financial Planner (CFP) designation or able to complete within the year; will consider a combination of education and experience.

Working with members to create strategies

Implementing and monitoring planning tactics to ensure the member is well prepared for all financial and insurance realities.

Conduct regular reviews of member investment plans and identify additional opportunities.

Organizational and priority management skills

Support the Portfolio Manager in providing superior customer service, including responding to clients’ inquiries by phone and email.

Familiarize and adhere to compliance requirements, including all aspects of new and existing account documentation and marketing materials.

Manage the advisors’ agenda, book appointments and prepare documentation for client meetings.

Two years of relevant experience in the banking, insurance and/or financial industry

Strong communication skills with the ability to build relationships and work collaboratively, confidentially and independently

To provide administrative support to the wealth management and financial planning divisions

To manage the flow of outgoing and incoming investment applications and forms needed in the administration of new and existing clients

Excellent benefits package that includes full health, medical, dental and vision care for you and any dependents

To provide superior client service support

Assist with client review reports and new client orientation processes

To respond to client inquiries about accounts and provide them with prompt, courteous administrative support

High level of time management and organization skills

Impact client experience through execution of client account administration, including account opening, account maintenance and efficient resolution of client request.

Become well-versed in internal controls and industry regulatory requirements, ensuring client files and other necessary documentation is accurate, up-to-date and compliant.

Tap into your superior problem resolution skills to provide proactive client service.

Effectively manage incoming communications from clients, Advisors and other internal and external partners.

Strong skills in working with various business applications/technology

Deliver presentations to client management at the audit opening and closing meetings.

Provide on-the-job training and mentoring to less experienced staff.

Evaluate the performance and capabilities of the assisting staff auditors.

Hold a Bachelor's degree in Accounting, Finance, Engineering, or another related field. An advanced degree is also preferred.

Demonstrate excellent oral and written communication skills in the English language and excellent presentation and interpersonal skills.

Establish the objective and scope of the audit engagement.

Minimum one year experience in professional office setting, preferably in finance or banking sectors

Strong computer skills and knowledge of MS Word, Excel, Outlook

Benefits including health, dental, and extended healthcare from Day 1!

3 weeks vacation to start

First point of contact - incoming telephone and email contacts from clients, Advisors and other partners

Assist Advisors in preparing account documentation including client reviews, presentations, correspondence and reports

Have competent working knowledge of recognized quality, security, service management and business continuity related ISO standards.

Experience in the automotive sector is required.

To perform audits in any capacity in conformance with SGS Global/Local procedures, sector specific schemes and IATF 16949

In performing the duties described above, to ensure that such duties are performed in an efficient and commercially expedient way

To control as necessary, teams of auditors during assessment activities

To decide upon evidence gained during audits whether or not registration should be recommended or allowed to continue.

One OR more experience listed: IDP data flows testing, Integration Testing, performance testing, security testing or environment management

Understanding of the wealth management systems

Excellent communication and interpersonal skills

Contract Term: 4 months, renewable

Work Location: downtown Toronto, ON / Hybrid