Senior Audit Manager - Capital Markets

Job Summary

Job Description

What is the Opportunity?

Conducts/leads internal audits to assess the effectiveness of controls and compliance with governmental regulation. Responsible for coverage of a specific business or function within Capital Markets with people management responsibility.

What will you do?

Leadership/Teamwork

• On certain engagements, lead a team of professional auditors and be responsible for all aspects of an audit.

• Identify competent and sufficient resources, with relevant skill sets to meet each audit.

• Manage staff assigned to the engagement and review audit work for the sufficient scope and for accuracy.

• Cooperate with other audit groups to effectively plan and execute.

Lead by example in promoting teamwork across IA through audits and related projects

• Draft the audit plan that ensures adequate coverage of all risks to permit the issuance of an overall opinion on internal controls and risk management practices to senior management.

• Oversee/manage engagement projects in the planning, execution, and reporting of information.

• Implement audit plan, and ensure effective audit practices for traditional and continuous audits.

• Participate in complex and confidential/special audit projects enterprise-wide as requested by RBC senior management.

• Ensure appropriate working paper evidence of findings is maintained.

• Manage performance of on-site audit work and review working papers when audit lead.

• Work with business to develop and implement a continuous assurance process.

• Document findings and assess general impact on potential consequences of recommendations.

• Supports U.S. businesses including Capital Markets, as well as functions.

• Supports other internal Audit groups in execution of their audit plans.

• Lead/Supervise components of audits.

• Identifies and recommends efficiency opportunities within the business.

Relationship Building

• Maintain effective working relationships with key stakeholders ensuring they get maximum value from our engagement work.

• Provide consulting, advisory services or lead an audit of a business as required, which are practices consistent with our role to evaluate and improve the effectiveness of risk management, control, and governance processes, providing the services do not represent a conflict of interest or detract from our mandate.

• Effect change by assisting business management to develop appropriate action plans to address identified deficiencies, and ensure corrective actions are implemented in a timely manner to effectively address the issues.

• Keep abreast of organizational, regulatory, product, strategic and financial changes and/or trends impacting assigned business platform.

What do you need to succeed?

• 4-7 years of experience in financial services regulatory guidelines

• Bachelor's Degree

• Proven ability to produce, conduct, and report on internal and external research, including qualitative and quantitative metrics

• Demonstrated ability to calculate ROI for projects of various complexity and scale

Nice to haves:

• Financial Services or Capital Markets audit experience

• Proficient in auditing principles and techniques

• Proficient written and oral communication skills

• Proficient in project management

• A strong understanding of Data Analytics to optimize use

What's in it for you?

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 building close relationships with clients

The good-faith expected salary range for the above position is $110,000-$190,000 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

Job Skills

Adaptability, Auditing, Commercial Acumen, Communication, Detail-Oriented, Internal Controls, Interpersonal Relationship Management, Long Term Planning, Results-Oriented

Additional Job Details

Address:

30 HUDSON STREET:JERSEY CITY

City:

Jersey City

Country:

United States of America

Work hours/week:

40

Employment Type:

Full time

Platform:

Internal Audit

Job Type:

Regular

Pay Type:

Salaried

Posted Date:

2024-06-11

Application Deadline:

2024-06-19

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.

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