Auditor – Compliance/Regulatory (IIROC) – Banking

  • Date Posted May 25, 2023
  • Location Toronto, ON
  • Job Type Contract
  • Job ID 16000

Are you collaborative, resourceful and highly organized? Do you enjoy developing relationships with influential stakeholders? If yes, this could be your next opportunity!

Working with one of the top financial clients this role calls for an Auditor – Compliance/Regulatory (IIROC) – Banking who will be responsible for assisting in the ongoing audit requirements for the client’s Private Wealth.  The successful candidate will participate in the Enterprise Regulatory Change Management framework for new and emerging regulatory developments at all stages including gap analysis, project creation, strategy, control design, policy and procedure updates and change management. The ideal candidate is someone with excellent compliance and auditing experience and strong exposure to change management and experience working on regulatory projects.


  • Leads and support PW internal and external audits, including coordination during pre-audit, audit fieldwork, and remediation of any identified issues.
  • Gathering and packaging information
  • Acts as a subject matter expert in the evaluation, development and implementation of an internal control system.

Desired Skill Set:

  • 3-5 years of solid experience in Auditing
  • 3-5 years of proven experience in Compliance
  • Knowledge of New SRO (formerly IIROC) rules and CSA/OSC National Instruments
  • Hands-on experience with Excel and SharePoint
  • Excellent verbal & written communication skills
  • Commendable collaboration & team skills
  • Expert analytical, Influence and problem-solving skills
  • Data-driven decision making
  • Detail-oriented and organized individual
  • Excellent communication and analytical skills

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