Control Tester

Apex Systems; Greater Toronto Area; On-site; CAD 75,000 - 115,000; Full time

Job summary

An established industry player is seeking a Compliance Consultant to enhance their regulatory compliance efforts. In this mid-senior level role, you will utilize your extensive experience in compliance and control testing to execute the 1LOD testing program, ensuring adherence to IIROC and OSC regulations. Your analytical skills will be crucial in preparing insightful reports and dashboards for management, while your ability to communicate effectively will help raise compliance awareness across various business units. Join a dynamic team where your expertise will directly impact the effectiveness of compliance strategies in a fast-paced environment.

Qualifications

• 7+ years in compliance, control testing, or audit role.
• Strong understanding of IIROC and OSC regulations.
• Excellent data analysis and communication skills.

Responsibilities

• Execute 1LOD testing program and document results.
• Prepare reports and dashboards for stakeholders.
• Act as a compliance liaison for internal partners.

Skills

Compliance Testing

Data Analysis

Communication Skills

Regulatory Knowledge

Judgment and Interpretation

Education

Canadian Securities Course

Tools

MS Excel

MS Word

Portfolio Management Software

Job description

Direct message the job poster from Apex Systems

Technical Recruiter at Apex Systems - Specializing in PMO

Control Tester (Regulatory Compliance)

Deliver on components of the 1LOD testing plans in accordance with the Enterprise Compliance Program and Regulatory Compliance Non-Financial Risk Framework.

• Execute the 1LOD testing program and document results and outcomes as required.
• Understand the Enterprise Compliance Program and Regulatory Compliance Non-Financial Risk methodology.
• Design and implement specific monitoring and testing procedures for each applicable area of review, which may include the development of new monitoring and testing scripts.
• Understand business processes across multiple entities in North America.
• Understand controls that support regulatory compliance and manage other sources of regulatory compliance non-financial risk.
• Access and update the enterprise compliance book of record GRCE.
• Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, and 2LOD Risk.
• Raise compliance and control-related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risk. For issues identified, provide root cause analysis and recommendations to management.
• Identify opportunities to improve the effectiveness of testing.
• Act as a liaison and compliance support to various internal business partners.
• Prepare reports and related test results dashboards for various stakeholders, including management.

Qualifications:

• 7+ years’ experience in a compliance, control testing, or audit role ideally in a dealer and/or portfolio management environment.
• Knowledge and understanding of IIROC rules and regulations applicable to dealer representatives and OSC rules applicable to portfolio managers and investment fund managers.
• Excellent data analysis skills, organizational, analytical, and communication skills.
• Successful completion of the Canadian Securities Course is preferred.
• Working knowledge of information technology tools required, including MS Excel, MS Word, and portfolio management or investment industry software.
• Ability to demonstrate effective use of judgment, interpretation, knowledge, and skill in the application of regulations and compliance requirements.
• Ability to independently deliver on complex assignments with competing deadlines.
• Excellent interpersonal skills and strong written and verbal business communication skills.
• Familiarity with regulatory requirements (e.g., OSC, IIROC, SEC, OCC, etc.).
• Familiarity with Investment Funds (key regulations include NI 81-102, 81-107, etc.).
• Experience in the planning and execution of testing (e.g., Audit, OSFI E-13, etc.).
• Understanding of risk and controls.

Seniority level

• Mid-Senior level

Employment type

• Contract

Job function

• Information Technology

Industries

• IT Services and IT Consulting and Technology, Information and Media

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