Audit Team Lead Central

Audit Team Lead Central

Build the future with us

Reporting to the Regional Leader, the Team Leader will support the achievement of the dealer’s regulatory requirement as it relates to CIRO Policy 5 and Ciro Policy 2 branch reviews.  In addition to meeting our regulatory requirements, the Team Leader will also look to provide bold insights for a company that delivers on its promises to customers.

What you’ll accomplish with us

As a Team Lead, you’ll be at the core of our mission. Here are the main responsibilities:

• Completing the required Policy 5 and Policy 2 reviews 

• Ensure that policies and procedures and supervisory standards are maintained by Approved Persons at assigned branches. 

• Recommending appropriate strategies to optimize risks, benefits, and quality 

• Assist in quality control to ensure all audits done with Dealer policies and procedures and regulatory requirements in accordance with the Dealer’s branch review program. 

• Demonstrating strong working knowledge of and compliance with internal audit methodology 

• Delivering on-the-job coaching and feedback to develop auditors 

• Contributing to annual risk-based audit planning , schedule maintenance and execution 

• Supporting the Findings Follow-up and Closure process by reviewing remediation and liaising with internal business stakeholders and advisors including escalations 

• Leading and/or participating in professional practice and improvement initiatives 

• Cultivating business relationships and work collaboratively with other functional areas 

• Creating and maintaining a positive work environment 

• Seeking learning and development opportunities in line with organizational needs and personal aspirations. 

• Run a weekly DMS

What could accelerate your success in this role

We’re looking for someone who:

• University degree in Business Administration, Accounting, Finance, or another related field 

• 5+ years audit experience 

• At least 3-5 years experience in a compliance or branch audit function. 

• Strong knowledge of the mutual fund industry, current regulatory rules, policies and procedures and industry guidelines as they relate to branch audits and best practices 

• Completion of the Canadian Investment Funds Course or Canadian Securities Course and Branch Managers Course and/or OPD/PDO is required. 

• Ability to work and learn quickly in a high-performance culture and with time-sensitive deadlines; 

• Ability to assess risk vs. consequences. 

• Ability to work both independently and as part of a team; 

• Demonstrated skills in diplomacy, judgment, professionalism and integrity; 

• Excellent problem solving and organizational skills; 

Why you’ll love working with us

• A work environment where learning and development merge with a collective pursuit of excellence;

• A healthy, safe, fair, and inclusive environment where potential can be freely expressed and developed;

• The opportunity to work in a hybrid environment, supported by flexibility and access to inspiring and innovative workspaces;

• Competitive benefits: Flexible group insurance, competitive pension plan, stock purchase plan, vacation and wellness/personal development days, telemedicine, employee and family assistance program, ergonomic furniture program, performance bonus, discounts on iA products, and much more!

Apply now and get ahead of your career, where your talent really belongs! 

Still unsure about applying?

At iA, we believe in potential and value diverse experiences. If this role inspires you, go ahead and apply – your place might be with us, and we want to get to know you!

The base salary for this role ranges between $80, 000 - $95, 000.