City : Canada

Category : Other

Industry : Financial Services

Employer : Richardson Wealth

• Work with management to set, enhance, progress and manage the enterprise audit program
• Work with management and support board to create and implement the audit program with a focus on a risk-based approach
• Conduct internal audits including branch audits, assessable business and operational units’ audits and thematic reviews
• Proactively communicate and discuss findings with Management to address issues in a timely manner, prepare reporting to Management Risk Committees and Board
• Draft and complete audit report for distribution and present and gain buy-in of results from affected stakeholders
• Conduct special audits for locations or areas of the firm that require a focused review due to an increase in risk resulting from complaints, investigations, internal and external environmental factors, etc.
• Liaise with IIROC on branch and head office audits.Collecting and collating data, coordinating meetings, review of data, drafting audit response letter then coordinating remediation of audit findings
• Book reviews (spot audits) of Investment Advisors identified as higher risk
• Maintain complete audit files for record keeping purposes
• Other duties as assigned to support the wider risk management mandate

• University or College Degree/Diploma desired
• Canadian Securities Course (CSC)
• Conduct and Practices Course (CPH)
• Partner’s, Officer’s and Senior Officer’s Course (PDO)
• Branch Manager’s Supervision course
• Risk Management or Audit Management Certificate an asset
• Options Supervision Course desired 

The full-time position of Senior Manager, Internal Control is responsible for conducting supporting the firm’s risk management program including business location audits, internal audits as well as being the liaison for regulatory audits/reporting.