Build the monitoring and testing program. You will focus on research, design, and creating a compliance monitoring and testing program and plan based on industry and governmental regulatory requirements. You will:
Assess the legislative and compliance requirements associated with relevant departments, determining fit and alignment with the monitoring and testing plan.
Work with members of the regulatory compliance team to assess and maintain our legislative compliance management system so that it correlates to our monitoring and testing plan.
Ensure incoming business units due to our new acquisition are aligned with the program and plan.
Continuous evaluation. You will assess results from the monitoring and testing plan. You will:
Consult with management to prepare appropriate remediation plans, implement timelines and track to completion.
Research and analyze applicable legislative and regulatory requirements and recommend updates to the monitoring and testing plan to reflect regulatory changes.
Conduct ad hoc reviews of business practices based on the development of new initiatives and changes to regulatory requirements.
Audit. You will review internal audit reports and work with the internal audit team as necessary to review and assess current controls and their impact on the monitoring and testing plan. You will conduct annual audits post-implementation.
Report. You will prepare formal and informal compliance reports on a regular and ad hoc basis.
What you bring
The education and experience. You have a university degree, and you may have a professional accounting designation (CPA, CMA, CGA). You have in-depth experience in compliance monitoring and testing or as an auditor in the financial services industry. Certified Internal Auditor (CIA) certification or equivalent experience would be an asset, as would exposure to securities and insurance legislative requirements and corporate regulatory compliance management.
The interpersonal skills. You have superior communication skills, and an appreciation for diverse backgrounds, experiences, and approaches. You can build collaborative relationships with internal and external stakeholders, interact with all levels of management, and confidently elicit needs and influence engagement. You can decipher industry language and conduct complex investigations, create detailed documentation, and make presentations adapting your delivery to meet the needs of your audience. You thrive in a high-performance culture, understanding the reliance others have on your output. French/English bilingualism is considered an asset.
The accountability. You work with a sense of ownership in accordance with established priorities. You are a critical thinker with a growth mindset, continuously seeking new information. You have exceptional analytical skills with an ability to focus on the big picture without losing the details. You are meticulous and resourceful and can prioritize expectations and deliverables to maintain high-quality standards while meeting urgeent deadlines. You are proficient with Microsoft Office and can quickly learn new tools.