Position:
Senior Audit Manager, Audit Professional Practice / Audit Professional Practice/ US
Purpose:
Contributes to the overall success of the Audit Department in the US as part of the global Audit Professional Practice team ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.
Accountabilities:
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
- Ongoing review and identification of issues on Quality Assurance across all audit activities in alignment with the Audit Department’s Quality Assurance and Improvement Program and its strategies; keeping abreast of changes in law, regulations and professional auditing standards; and preparation of guidance and written communications to Audit Department staff.
- Identifying opportunities and leading training for the Audit team members to enhance the efficiency and effectiveness of the US and global audit function, including in areas of:
- Audit Methodology, and
- Soft skills that support the audit process.
Participation in:
- Execution of the Audit Department’s Quality Assurance & Improvement Program
- Audit Department’s training program, by developing and delivering training sessions
- Maintenance of audit databases to reflect changes in business or environment
- Assist the US Chief Auditor in the preparation of reports to Senior Audit management, US management and the US Boards.
- Preparation and management of Audit Department’s correspondence with external regulators, including preparation of pre-examination materials, ad-hoc requests and acting as a project lead to address regulatory recommendations on the Audit Department.
- Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct.
- Champions a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vision/values/business strategy and managing succession and development planning for the team.
Dimensions:
- Supports team of approximately 12 auditors
- Countries / regions / business units supported: US and other business units as required
- Regulatory bodies and special requirements: Key governing Regulatory bodies.
- Supports audits in all US locations and QAIP work in other locations for review and expertise as required through coordination with the global Audit Professional Practice department.
- Works with the second line of defense to coordinate information on the business on trends and significant issues.
Education/Experience:
- Person needs to have worked in a professional practice capacity at another audit firm/function
- Formal training/certification in IIA standards
- Knowledge of US regulations and industry best practices in Internal Audit methodology
- Undergraduate degree with advanced degree in business or finance an asset/or comparable experience
- Accounting or audit experience an asset
- 5 to 10 years financial services experience
- Training or coaching experience
- Flexible, analytical, focused on results and efficiency and able to work independently.
- Ability to communicate, written and oral, effectively to senior levels of management and external regulators.
- Working knowledge of Word, Excel, and audit software tools (such as TeamMate)
Job Order ID: 1400
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