Senior Manager - Capital Markets, Internal Audit

About the position As a Senior Manager – Capital Markets, you will be responsible for coverage of a specific business within RBC Capital Markets US. Your role will involve 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.

Responsibilities

• Lead auditor of the Capital Markets U.S. business with specialization of one or more underlying business units.
• Work in a team-based environment including with other functional teams as project lead providing coaching and support to junior team members and be responsible for all aspects of an audit.
• Draft the audit plan that ensures adequate coverage of all risks to permit the issuance of an overall opinion on internal controls and risk management practices to senior management.
• Execute the audit plan and ensure effective audit practices for traditional and continuous audits.
• Identify high value audit observations, communicate, and gain agreement with both audit leadership and audit stakeholders.
• Document findings and assess general impact on potential consequences of recommendations.
• Participate in complex and confidential/special audit projects enterprise wide as requested by RBC senior management.
• Ensure appropriate working paper evidence of findings is maintained.
• Manage performance of audit work and review working papers.
• 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.

Requirements

• 7+ years of experience in financial services internal audit (preferably Banking)
• Working knowledge of Capital Markets lines of business (e.g., Global Markets, Investment Banking, Cash Management) and products (e.g., derivatives, repos, IPO, FX)
• 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

• Certified Internal Auditor, Certified Public Accountant, or other relevant professional certifications
• A strong understanding of Data Analytics, data visualization and reporting.
• Knowledge of US regulatory standards, auditing standards and business processes in the financial securities environment

Benefits

• bonuses
• flexible benefits
• competitive compensation
• commissions
• 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
• 401(k) program with company-matching contributions
• health, dental, vision, life and disability insurance
• paid time-off plan

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