Jobs at Canaccord Genuity Corp.

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Internal Auditor

Toronto, ON
Internal Auditor, Internal Audit
Toronto – Job # 5415

Who we are:


Canaccord Genuity (CG) is a leading independent full-service financial services firm, with operations in two principal segments of the securities industry:  wealth management and capital markets.  CG is driven by an unwavering commitment to build lasting client relationships – we achieve this by generating value for our individual, institutional, and corporate clients through comprehensive wealth management solutions and investment banking services.  We are a leading independent wealth management firm in Canada, and the leading mid-market provider of investment banking advisory, equity research, sales and trading services for corporations and institutions.

We pride ourselves on understanding our clients’ needs and finding innovative, bespoke solutions.  Our entrepreneurial and friendly team will challenge you to learn and grow every day.  We value great work and collaboration and strive to eliminate bureaucratic thinking.  We’re looking for talented people who thrive in a fast-paced environment and want to have an impact with innovative ideas and best practices.

Come be a part of our Canadian success story and help deliver superior experiences for our clients. At CG, we recognize that diversity across our business strengthens our client relationships and enables more innovative solutions.  We strongly encourage applications from all qualified individuals regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. CG provides an accessible candidate experience. If you need any accommodations throughout the interview process and beyond, please let us know.

Our Canadian operations are looking for an Internal Auditor to join the organization. The successful candidate will have previous experience auditing ICFR (Internal Controls over Financial Reporting), and an understanding of the brokerage industry. This position will report functionally to the Manager, Internal Audit  and administratively to the Global Head of Internal Audit. 

Responsibilities:
  • Perform duties of an advanced or complex nature requiring strong judgment. Requires a thorough knowledge of ICFR; 
  • Coordinate with external auditors to plan and scope work required, identify opportunities to streamline processes and reduce duplication of efforts;
  • Plan and execute audit engagements covering a variety of topics including ICFR, retail branch supervision, investment suitability, AML, and BCP as assigned in a manner that adheres to department standards including: scheduling interviews with process owners, requesting control documentation, conducting fieldwork and communicating audit results; 
  • Ensure working papers and files (both on-line and hard copy) adhere to department standards;
  • Deliver draft reports and supporting documentation within two weeks of completion of fieldwork;
  • Provide recommendations in reports that are well thought-out (i.e. determine effect on other areas of the organization), practical and written in a format that can be delivered directly to Executive Management and the Board;
  • Provide regular reporting on testing progress and issues encountered;
  • Manage and maintain relationships with primary audit customers;
  • Coach team members in areas where the candidate is the subject matter expert.

Skills & Qualifications:
  • Professional accounting and/or audit designation preferred (CIA, CISA, CPA, CMA, CGA or CA) with a minimum of 2 – 3 years post-qualification experience in an audit role;
  • CISA designation and/or knowledge of IT audit procedures considered a significant asset;
  • Knowledge of ICFR (NI 52-109), IFRS and COSO framework required;
  • Knowledge of TeamMate Audit+ considered a significant asset;
  • Knowledge of the brokerage industry considered a significant asset;
  • Must possess strong interpersonal and communication skills, both verbal and written, along with the ability to work independently and as part of a team;
  • Must be able to interact with individuals from a variety of backgrounds and at different levels within the organization;
  • Must be proficient in internal audit standards;
  • Must be proficient in Microsoft Office;
  • Must be able to travel for approximately 10% of the time, if required.
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