Manager, Internal Audit Regulatory Issues Management
2 weeks ago
The Audit Manager position is a managerial role supporting the maintenance and operations of the regulatory relationship with US Prudential regulators that covers all aspects of US Internal Audit (IA) activity and to support key IA stakeholders.
Additionally, this position will be required to maintain and enhance management of regulatory issues management processes, including reporting to ongoing and adhoc requests, manage preparation for regulatory meetings, and manage internal management/Board reporting with updates regarding regulatory activities.
Job DescriptionWhat is the Opportunity?
The Manager of Internal Audit Regulatory Issues Management position is a a managerial role within the Internal Audit's regulatory exam and issues management function.
What will you do
- Responsible for project managing, tracking and reporting of the IA teams' validation results/status against the 'plan' to various legal entities audit committees, as well as to key internal stakeholders.
- Facilitate plans and approach for IA's strategic initiatives to fulfill Consent Order requirements and manage the assigned portfolio of regulatory issues validation work.
- Support IA teams on regulators' expectations and potential enhancements to IA's approach or remediation action plans as discussed during the course of exams, ongoing supervisory events and inquiries (prior to firm's interactions/responses).
- Ensure integrated activities across regulatory responses and remediation activities are well coordinated.
- Review proposed corrective actions/IA's remediation approaches to ensure that they address the regulatory issues.
- Monitor and track IA's progress in completing undertakings made to regulators during the course of inquires and exams.
- Persistently follow-up with IA teams to ensure that the appropriate information is obtained and timely recorded.
- Identify and effectively escalate potential issues to the appropriate IA SLT with appropriate solution(s) proposed.
- Support the periodic status reporting on progress against regulatory initiatives/issues reporting to IA senior management in conjunction with the US/Global IA Operations and Analytics team and the Governance, Risk and Controls (GRC) Office.
Must Have
- 5 years of experience in Internal Audit within financial services sector.
- Experience managing, organizing, and tracking regulatory issues and responses, including project management to effectively manage milestones, and status reporting.
- Proven experience with reviewing, and challenging proposed corrective actions, ensuring regulatory issues are addressed timely.
- Strong understanding of risk governance frameworks and U.S regulatory expectations (i.e. OCC, FRB, CFPB and etc.) for U.S banking organizations, in multiple risk areas (operational risk, compliance, financial risk, IT, TPRM and etc.)
- Highly collaborative with strong communication and interpersonal skills, critical thinking, keen attention to detail and ability to navigate complex regulatory frameworks.
- Bachelor's Degree
- Relevant certification of industry accreditation (e.g. CIA, CRMA, CAMS and etc.)
- Experience in regulated financial services environment with direct interactions with regulators.
- Experience from large financial institutions (preferably in Capital Markets and/or Retail banking focus)
- Highly strategic with strong critical thinking skills, and an eagerness to implement innovative solutions to improve inefficient processes.
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper.
We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
The good-faith expected salary range for the above position is $xxxxxxxxx, depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs.
This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.
RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:- Drives RBC's high-performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
- Opportunities to building close relationships with clients
Adaptability, Auditing, Commercial Acumen, Communication, Detail-Oriented, Internal Controls, Interpersonal Relationship Management, Long Term Planning, Results-Oriented
Additional Job Details
Address:
350
SOUTH GRAND AVENUE:
LOS ANGELES
City:
Los Angeles
Country:
United States of America
Work hours/week:
40
Employment Type:
Full time
Platform:
Internal Audit
Job Type:
Regular
Pay Type:
Salaried
Posted Date:
Application Deadline:
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth.
We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work.
We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.Join our Talent Community
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