JOB SUMMARY

The Director Enterprise Compliance Compliance Audit is a solution-oriented leader, with subject matter knowledge and experience in financial institution’s regulatory requirements (i.e. market conduct, business conduct, privacy and consumer protection) and risk management frameworks. Reporting to the Head of Enterprise and Canada Compliance Audit, you will be responsible for assurance work for the Enterprise Compliance portfolio which comprises of second line oversight 2A and 2B functions within the Chief Compliance Office and the Global Privacy Office. You will leading the development of audit’s regulatory compliance Center of Excellence (CoE) and development of continuous assurance/monitoring audit approaches. You will also act as a trusted advisor to auditees and business platform/regional audit teams globally.

JOB SKILLS

Adaptability, Auditing, Detail-Oriented, Internal Controls, Interpersonal Relationship Management, Long Term Planning, Multi-Level Communication, Organizational Savvy and Politics, Results-Oriented

• Audit Planning using a risk-based approach lead the end-to-end planning, execution and assesses the effectiveness of key risk management practices within Regulatory Compliance second line of defense.
• Lead a team of Sr. Managers and Managers delivering on regulatory compliance audit plan and developing future talent while maintaining a positive, collaborative and growth-oriented team mindset.
• Working closely with internal clients at all levels in developing audit findings, audit reports and recommendations regarding business process optimization, implementing regulatory compliance management program, internal control, and compliance.
• Lead the development of Compliance CoE, remaining abreast of regulatory changes to provide effective advisory support to 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).
• Develop and maintain Regulatory Compliance Standard Audit Programs and training programs for auditors across the CAE Group to upskill regulatory knowledge.
• Lead the development of continuous monitoring and continuous assurance using data analytics to monitor and report key emerging inherent risk areas and weaknesses in control environment.
• Develop and maintain authentic, positive, and productive working relationships with senior leaderships in Regulatory Compliance and in Audit.