Senior Audit Manager
4 weeks ago
As a Senior Manager - Compliance, you will be responsible for providing independent and objective evaluation of the adequacy and effectiveness of Compliance practices for all of the business lines within RBC Capital Markets, LLC. You will perform continuous risk monitoring activities to develop and maintain the annual audit plan and lead the execution of internal audits in a team-based environment to assess the effectiveness of controls and compliance with governmental regulation.
Key Responsibilities- Lead or take part in audit engagements with a team of professional auditors to effectively cover Compliance functions in the U.S.
- Develop and manage the US RBC Audit plan for Compliance based on risk assessment and continuous monitoring.
- Lead continuous monitoring activities including reviewing relevant data and meeting with key stakeholders to provide ongoing risk assessments.
- Supports other internal Audit groups in execution of their audit plans as necessary.
- Identify and recommend efficiency opportunities within the business.
- 5 years of experience in financial services internal audit (preferably Banking) with strong audit skills.
- Working knowledge of Compliance responsibilities and practices.
- Proven ability to produce well-written work products and effective communication along with value-added observations/recommendations.
- Highly proficient in the use of Microsoft Excel, Word, and PowerPoint.
- Strong problem-solving and negotiating skills to mitigate conflicts arising from difficult situations.
- Proficient time management, organizational, and project management skills.
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. Opportunities to build close relationships with clients.
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