Intermediate Financial Auditor to support internal and external audits with SRO (formerly IIROC) experience for a banking client - 52401-1

Job Type: Contract
Positions to fill: 1
Start Date: Jun 12, 2023
Job End Date: Nov 12, 2024
Pay Rate: Hourly: Negotiable
Job ID: 130306
Location: Toronto
Duration:  18 mo (possible extension) 
Location:  Toronto (hybrid) 
Job ID:  52401-1

Our banking client is in need of a Intermediate Financial Auditor to support internal and external audits with SRO (formerly IIROC) experience

Must Have:
  • 3+ years experience as a Financial Auditor within the banking or financial services domain
    • Internal and external audit  
  • 3+ years experience with compliance 
    • SRO (formerly IIROC) 
    • CSA/OSC National Instruments
  • 5+ years experience with Microsoft suite (Excel, Sharepoint, etc)
Nice to Haves:
  • Canadian Securities Course and Conduct and Practices Handbook 
  • CPH
Key Responsibilities

The selected candidate will be assisting in the ongoing audit requirements the client. This team acts as the face of Private Wealth line of business with various auditors (internal auditors and external regulatory examiners). Audits typically run for 3 months and usually overlap and come in regularly. The team meets with auditor to collect requirements, sets up meetings to coordinate collecting information and packages the final audit report to be sent to auditors. 

• Leads and support internal and external audits, including co-ordination during pre-audit, audit fieldwork, and remediation of any identified issues.
• Participates in the Enterprise Regulatory Change Management framework for new and emerging regulatory developments at all stages including gap analysis, project creation, strategy, control design, policy and procedure updates and change management.
• Acts as a subject matter expert in the evaluation, development and implementation of an internal control system.