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Focus on testing of controls in Canadian Banking and Wealth Management, to mitigate Compliance / Regulatory risk
Work with the rest of the testing team to execute the compliance testing program to identify areas of regulatory compliance risk exposure, provide adequate coverage and depth of testing, while promoting testing consistency.
Assess the designated assessable unit controls and practices, to determine their design and operating effectiveness, in relation to the mitigation of compliance / regulatory risk.
Identify and document issues based on the above assessment.
Prepare and coordinate the completion of testing engagement reports.
Ensure accurate, complete, sufficient and appropriate documentation of testing results to support our assessments in the testing engagement reports.
Constantly look out for efficiencies / enhancements in the testing process (e.g., use of automation / data analytics).
Validate actions taken by management to support closure of testing issues.
Champion a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge.
Partner with other Global Compliance groups and other lines of defense, to ensure consistent and effective execution of the testing program across business units.
Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
Actively pursue 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 regulatory compliance risk, including but not limited to responsibilities under the Regulatory Compliance Risk Management Framework.
Manager, Compliance Testing - Canadian Banking & Wealth Management (6 month contract)
Toronto, ONPosted Yesterday