Sr. Internal Auditor - IT
Vancouver – Job # 5431
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 make 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 a Sr. Internal Auditor – IT to join the organization. The successful candidate will have previous experience auditing IT Operations/Systems, reviewing ICFR (Internal Controls over Financial Reporting) ITGC (IT General Controls) and an understanding of the brokerage industry. This position will report to the Global Head of Internal Audit.
Skills & Qualifications:
- Independently complete ICFR ITGC (IT General Controls) and advanced/ complex IT audits using a risk-based methodology and in a manner that adheres to IIA and department standards.
- Assess and report on control design and effectiveness and identify, assess and report on deficiencies by testing performance of controls against company policies, external regulations, accounting requirements and best IT practice.
- Maintain a good understanding on relations between business and IT processes.
- Liaise with external auditors to provide support for ICFR ITGC assessments, identify opportunities to streamline processes and reduce duplication of efforts.
- Ensure audit work is supported through appropriate and complete working papers that adhere to IIA and department standards within two weeks of fieldwork completion.
- Prepare audit findings and recommendations through written memos or audit reports that mitigate risk, improve operations and reduce costs. Reports should be written in a format that can be delivered directly to Executive Management and the Board.
- Monitor, validate and report on the implementation status of management action plans resulting from audit engagements and internal control assessments on a quarterly basis.
- Provide advisory services, investigations and other ad hoc projects as and when required.
- Provide effective communication and education of the internal control policies and procedures to various levels of management.
- Provide support to the business to implement operational improvements and to ensure consistency with IT policies and procedures.
- Manage and maintain relationships with internal/external clients.
- Coach team members in areas where the candidate is the subject matter expert.
- Ensures to uphold the company’s core principles of conduct of being Accountable, Aligned and Approachable.
- CISA designation required. A professional accounting and/or audit designation (CIA, CPA, CMA, CGA or CA) would be considered an significant asset.
- Minimum of 5 years of current or recent IT audit experience, including reviewing IT process in complex technology environments.
- A good knowledge of ICFR, COBIT and COSO framework required.
- A good knowledge of risks and controls related to IT operations, network security, system development, access management, change management, data protection, firewalls required.
- Capable of identifying IT threats, risks and impacts to the organization. Knowledge of cloud security would be an added advantage.
- Knowledge of TeamMate Audit+ and any data analytic tools 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.