Manager, Compliance Testing
$80,000–$128,000 year
On-siteToronto, Ontario, Canada or Waterloo, Ontario, Canada
Job Summary
Design and execute effective test procedures by reviewing regulatory requirements, policies, and key control processes while documenting work papers. Communicate with stakeholders throughout the review process, escalate engagements as required, and identify compliance issues to develop recommendations for business action plans. Write clear testing reports documenting risk, scope, findings, and recommendations. Support the development of Annual Compliance Test Plans and schedules for Canadian Business Units based on regulatory risk, and review program outcomes for trends and improvement opportunities, including the utilization of AI support tools. Maintain effective relationships with compliance representatives and line management while contributing to multiple Compliance projects simultaneously.
Required Qualifications
- A minimum of 3-7 years of progressive Compliance Testing or Internal Audit experience
- working knowledge of audit procedures, planning, testing and sampling methods
- within a Federally Regulated Financial Institution (i.e. OSFI regulated) or large auditing firm
- Excellent knowledge of Regulatory Compliance Management (RCM) programs, risks, controls and testing methodology
- Ability to understand and interpret legislation and regulations into business impacts, compliance elements and regulatory risks
- Knowledge of regulatory requirements and securities laws applicable to financial institutions
- Knowledge of and experience with developing AI Agents, using GenAI tools, and identifying and deploying innovative solutions to drive efficiency and accuracy
- Excellent verbal and written communication and strong interpersonal skills
- Undergraduate degree in Business, Accounting Finance, or related field
- An ability to gather, analyze and evaluate facts and to prepare and present concise findings
Desired Qualifications
- Expertise in the Asset Management, Group Benefits, and Group Retirement Services area
- Experience using a GRC platform (e.g. Archer or similar is preferred)
- Bilingualism (English and French)
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