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Senior Audit Manager - US IA AML and Compliance

Senior Audit Manager - US IA AML and Compliance

Royal Bank of Canada>Jersey City, United States of America
22 days ago
Salary
USD110000–USD190000 yearly
Job type
  • Full-time
Job description

Job Summary

Job Description

As a Senior Manager – Compliance, responsible for providing independent and objective evaluation of the adequacy and effectiveness of Compliance practices for all of the business lines within RBC in the US (i.e. US Capital Markets, US Wealth Management, Global Asset Management, WFC Branch and the NY Credit Branch), performing continuous risk monitoring activities to develop and maintain the annual audit plan and leading the execution of internal audits in a team-based environment to assess the effectiveness of controls and compliance with governmental regulation.

What will you do?

  • Working in a team-based environment, lead or take part in audit engagements with a team of professional auditors to effectively cover Compliance functions in the U.S. This includes all of the audit phases such as planning the engagement, conducting control design assessments, control effectiveness testing, drafting and communicating findings, and issuing final reports.
  • Together with the Director for IA US Compliance, develop and manage the US RBC Audit plan for Compliance based on risk assessment and continuous monitoring.
  • Together with the Director for IA US Compliance, lead the validation of regulatory matters issued by relevant regulatory bodies.
  • Lead continuous monitoring activities including reviewing relevant data and meeting with key stakeholders to provide ongoing risk assessments.
  • Supports other internal Audit groups in execution of their audit plans as necessary.
  • Identifies and recommends efficiency opportunities within the business.

What do you need to succeed?

Must-have

  • 5+ years of experience in financial services internal audit (preferably Banking) with strong audit skills
  • Working knowledge of Compliance responsibilities and practices
  • Proven ability to produce well written work products and effective communication along with value added observations / recommendations
  • Highly proficient in the use of Microsoft Excel, Word and PowerPoint.
  • Strong problem solving and negotiating skills to mitigate conflicts arising from difficult situations
  • Proficient time management, organizational, and project management skills.  Ability to pivot through working on multiple deliverables with tight deadlines

    • Nice to haves :

  • Subject matter expertise in US Compliance regulatory requirements such as SR 13-1 and / or experience auditing Compliance functions
  • Certified Internal Auditor, Certified Public Accountant, or other relevant professional certifications
  • A strong understanding of Data Analytics, data visualization and reporting.

    • 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

    • LI-Hybrid

    LI-POST

    Job Skills

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

    Additional Job Details

    Address :

    GOLDMAN SACHS TOWER, 30 HUDSON STREET : JERSEY CITY

    City : Jersey City

    Country :

    United States of America

    Work hours / week : Employment Type :

    Full time

    Platform : INTERNAL AUDIT

    Job Type : Regular

    Pay Type : Salaried

    Posted Date : 2024-09-18

    Application Deadline :

    2024-12-31

    I nclusion 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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    Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com .