18 Jan
Richardson Wealth
Old Toronto
About Us: As a leading Canadian wealth management organization, Richardson Wealth offers the personal touch of a boutique firm while delivering big results. With offices across the country, we are home to some of Canada’s best investment advisors. We’ve embarked on an exciting growth phase – a multi-year transformational journey to enhance our entrepreneurial, high-performing, advisor-centric culture.
Where we’re going: We want to be the brand of choice for Canada’s top advisors and their high-net-worth clients. We also have an ambitious growth strategy to triple our Assets under Administration (AUA) to $100 billion by 2027.
To reach our goals, we are making strategic investments in technology, real estate and,
most importantly, our people.
Position Overview
The full-time position of Senior Manager, Internal Audit and Assurance is responsible for planning and conducting assurance reviews and supporting the firm’s risk management program, including business location review, regulatory examinations, internal audits, and being the liaison for regulatory audits/reporting with a focus on criteria outlined in CIRO rules and other regulatory/corporate guidelines.
Duties and Responsibilities
• Work with Management to enhance, advance, and manage the enterprise compliance review, assurance, and audit programs with a risk-based approach;
• Liaise with CIRO, the OSC, and other regulatory entities on branch and head office exams and reviews, including the collection and collation of data, coordinating meetings, reviewing data, draft audit response letters, and monitoring remediation action plans;
• Plan and conduct internal audits, assurance, and reviews, including branch compliance reviews, advisor practice reviews, assessable business and operational units’ audits,
and other reviews as required;
• Proactively communicate and discuss findings with Management to address issues in a timely manner;
• Proactively communicate audit plans and scheduling in advance to stakeholders;
• Prepare reporting for the Executive Risk Management Committee and both Boards of Directors;
• Draft and complete audit reports for distribution and presentation, gain buy-in to results, support action plan development by stakeholders, ensure related follow ups and resolutions, ensuring audit life cycle and action plan closure/completion;
• Coordinate and partner with other Risk and Compliance colleagues to drive consistency and standardization of governance approach to foster a holistic/global risk perspective;
• Conduct special audits for locations or areas of the firm that require a focused review;
• Stay current with changes in audit procedures, regulations, and industry trends and assist in the development and implementation of audit methodologies and best practices;
• Other duties as assigned to support the wider risk-management mandate.
Qualifications
• Audit, Compliance, or Operations experience in a CIRO dealer environment
• Team leadership, management, and coaching skills
• Resourceful and independent with strong problem-solving skills
• Flexible to adjust to changing priorities and deadlines
• Excellent English communication skills, written and verbal (specifically audit report writing)
• Proficiency in Microsoft applications (Excel, Word, PowerPoint, Teams)
• Team player, customer-focused, and results-oriented
• Capacity to engage with stakeholders across the firm and build consensus
• Experience communicating with Regulatory bodies an asset
• Ability and willingness to travel within Canada, at times on short notice
• Strong risk assessment, evaluation, and negotiation skills
• Ability to think outside the box, apply healthy skepticism when appropriate
• Strong understanding of the impact and significance of audit findings, and be able to assess management’s corrective action plans to address the findings and improve organizational controls
• Experience with GRC or Audit platforms would be an asset
Education, Designations, and Certifications
• University or College Degree/Diploma in business, finance, accounting or similar field
• Canadian Securities Course (CSC) required
• Risk Management or Audit Management Certificate (or familiarity with / working knowledge of Institute of Internal Auditors / IIA Standards, if not IIA-certified) would be an asset
• Branch Manager’s Supervision course or equivalent branch operations experience would be an asset
Why Apply: Our firm is only as good as the people who work here. Our employees are exceptional because they combine in-depth expertise with enthusiasm, and empathy. From our front office talent to our colleagues behind the scenes, we have one focus: to ensure our people thrive here more than anywhere else. Are you innovative, self-driven, and client-centric?
If so, we’re ready to invest in you.
Richardson Wealth is an equal opportunity employer and committed to providing a diverse, equitable and inclusive environment.
We are happy to meet your individual needs in keeping with the Canadian Charter of Rights and Freedoms and the Accessibility for Ontarians with Disabilities Act. Candidates may request accommodation at any point during the interview process. We are a proud partner of Pride at Work Canada.
Other details
- Pay Type Salary
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