Senior Business Controls Tester

Insight Global; Toronto; On-site; CAD 90,000 - 130,000; Full time

Job summary

Insight Global in Toronto, Ontario is seeking a Capital Markets Controls Tester to rigorously test the bank's control environment for regulatory, legislative, and operational compliance across Capital Markets units.

You will design and execute test plans, assess design and operating effectiveness of controls in trading, market risk, and sales, document findings, and work with Risk, Compliance, and Audit to drive remediation and continuous improvement.

Qualifications

• 7+ years in control testing, risk, audit, or compliance.
• Experience with Capital Markets products and trading lifecycle.
• CIA/CISA/CRISC certifications preferred.

Responsibilities

• Test key controls across Capital Markets units for regulatory compliance.
• Assess design and operating effectiveness of controls in trading, risk, and sales.
• Document findings and remediation recommendations.
• Collaborate with Risk, Compliance, Audit teams to improve controls.

Skills

Control testing

Operational risk

Regulatory compliance

Auditing

Analytical skills

CIA

CISA

CRISC

Job description

Job Description

As a Capital Markets Controls Tester, the successful candidate will be responsible for conducting comprehensive testing of the bank's control environment to ensure compliance with regulatory, legislative, and operational requirements across Capital Markets businesses. They will work closely with business stakeholders to identify, assess, and test key controls while providing recommendations for improvement. This role will be critical in mitigating operational risks and ensuring the effectiveness of the bank's control framework.

Key Responsibilities

• Conduct detailed testing of key controls across Capital Markets business units to ensure compliance with regulatory, legislative, and operational requirements.
• Assess the design and operating effectiveness of controls supporting trading, sales, market risk, and other Capital Markets functions.
• Identify control deficiencies and provide recommendations for remediation.
• Develop and execute test plans, including defining test objectives, scope, and methodology.
• Document and report test results, including findings and recommendations, to relevant stakeholders.
• Collaborate with business units, Risk, Compliance, and Audit teams to understand processes and identify areas for control improvement.
• Monitor the implementation of control improvements and ensure timely remediation of deficiencies.
• Support internal and external audits by providing documentation and testing results.
• Stay updated on regulatory changes and industry best practices related to Capital Markets controls and risk management.

We may use artificial intelligence tools to assist with the screening, assessment, or selection of potential applicants for this position.

Skills and Requirements

• 7+ years of experience in control testing, operational risk, internal audit, compliance, or a related area.
• Banking or large financial institution experience.
• Experience supporting Capital Markets businesses, including areas such as Fixed Income, Equities, Sales & Trading, Treasury, or Market Risk.
• Strong understanding of risk, governance, and control testing methodologies.
• Strong analytical and problem-solving skills.
• Professional certifications such as Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or CRISC.
• Experience supporting regulatory, audit, or enterprise risk initiatives.
• Knowledge of Capital Markets products, trading lifecycle processes, and associated operational risks.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to [e-mail].