Senior Audit & Regulatory Risk Lead – Wealth Tech

RBC; Toronto; On-site; CAD 140,000 - 190,000; Full time

Benefits offered by this job

Bonus program

Flexible benefits

Stock where applicable

Job summary

RBC is looking for a senior leader to manage the Audit and Regulatory Liaison pillar within Wealth Management Technology. You will oversee a small team, drive risk management across IT and operations, and coordinate regulatory responses for audits and exams.

You will partner with Audit and Group Risk Management to improve efficiency and reduce remediation cycles. You will champion SOC1, SOX, and Crown Jewel considerations, and ensure compliant documentation across WMT applications.

Qualifications

• 10+ years experience evaluating general computing controls and IT risk.
• Excellent verbal and written communication, with relationship management skills.
• In-depth knowledge of the global financial regulatory landscape (OSFI, FRB, NYDFS, FINRA, OCC).
• Strong IT and operational risk management processes, methods and tools.
• Solid knowledge of OSs (Unix, Windows, z/OS) and DBs (Oracle, SQL Server, DB2).
• CRISC and CISA certifications demonstrate risk expertise.
• Familiarity with GRC tools (ServiceNow, Archer) is a plus.

Responsibilities

• Lead audit and regulatory engagement by coordinating with stakeholders to submit evidence on time and drive remediation within SLA.
• Serve as central focal point for US Wealth Technology risk activities and coordinate with WMT risk management.
• Monitor and report regulatory compliance through preparation and execution of internal and external presentations.
• Assess application criticality for SOC1, SOX, and Crown Jewel applicability with documentation and remediation tracking.
• Own operational risk program execution, including leading Risk and Control Self Assessments and control testing.
• Build partnerships with Audit and Group Risk Management to improve processes and reduce remediation cycles.

Skills

Regulatory engagement

Risk management

Cyber security

Communication

Operating systems knowledge

Database knowledge

Education

CRISC Certification

CISA Certification

Tools

ServiceNow

Archer

Job description

RBC is looking for a senior leader to manage the Audit and Regulatory Liaison pillar within Wealth Management Technology. You will oversee a small team, drive risk management across IT and operations, and coordinate regulatory responses for audits and exams.

You will partner with Audit and Group Risk Management to improve efficiency and reduce remediation cycles. You will champion SOC1, SOX, and Crown Jewel considerations, and ensure compliant documentation across WMT applications.