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Senior Financial and Operations Compliance Examiner

Job Highlights
Direct Hire

About the Company  

Our client is a large regulatory body. They are currently seeking a Senior Financial and Operations Compliance Examiner. This role is accountable for analyzing and independently verifying the accuracy and completeness of the submitted information by member firms within the context of the regulatory reporting framework.   

Why Work Here 

  • Comprehensive salary and benefits package 
  • The working environment is professional, diverse and tenured 
  • The company has high standards with regards to the quality of work, attention to detail and process control 

About the Opportunity 

  • Perform complex field examinations of the operations of assigned member firms 
  • Perform preliminary research and information gathering activities for assigned projects; identify applicable policies and regulations, review prior examination reports and working papers 
  • Plan the examination of a Member firm (includes performing a risk evaluation of the Member and determining the necessary customization to the standard examination procedures and/or scope) 
  • Review complex financial and/or management procedures to evaluate the adequacy of internal controls 
  • Interview staff involved in performing the procedures 
  • Develop documentation describing the workflow; identify desired control objectives (based on defined minimum requirements; identify how control objectives are being met; evaluate risk potential, as required 
  • Ensure compliance with minimum audit requirements prescribed under company rules and policies 
  • Supervise Examiners in the field to ensure examination procedures are properly conducted within established timeframes 

About You 

  • CPA Designation 
  • 5-7 years’ experience in the financial sector audit practice of a national accounting firm and enterprise risk management consulting practice, or similar risk management experience, preferably at a large financial institution 
  • Experience in the Financial Services industry 
  • Audit experience 
  • Exposure to Enterprise Risk Management (ERM) and/or IT Audit (is a very strong asset) 

Salary Range 

$90,000 - $95,000/year 

How to Apply 

Click the “Apply Now” button and follow the instructions to submit your resume. Please know that we only accept documents in MS Word or Rich Text formats. When referencing this job, quote #365232. 

You must currently reside within the Greater Toronto Area and be permitted to work in Canada to be considered for this opportunity. A recruiter will be in touch with you if your profile meets our client’s requirements for this role. 



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Senior Financial and Operations Compliance Examiner

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