cross functional activities

Associate - Senior Auditor - Investment Bank

Key Responsibilities:

• Leads two or more audits simultaneously at a minimum
• Conduct and document more complex and high risk audits throughout the Corporation
• Demonstrates professional skepticism and comfort with questioning how certain processes are being performed in order to facilitate making improvements
• Finalizes planning documents
• Assisting in Audit Plan evolution by challenging scoping of audit project
• Functions in various roles on audit assignments, including leading audits, staffing audits, and providing oversight functions based on the needs of the team
• Applies analytical skills to review information, perform assessments of the audit results, and evaluate the adequacy of controls
• Leads a team of 1 or more staff in executing audits
• Works closely with the Audit Team Leader/Manager I or II to perform/develop the audit planning, scoping, and fieldwork execution strategy
• Works closely with the Audit Team Leader/Manager I or II to develop the audit budget and/or timeframe for how the audit will be completed
• Reviews the work papers of the audit team members ensuring that departmental standards have been met
• Communicates the audit status to business unit and Audit Services management. Responsible for direct interaction with different committees and/or management
• Completes and compiles findings and recommendations for the purpose of status updates, memos, and audit reports
• Coordinates with other audit teams (business unit, regional, and specialist) to ensure evaluations of related areas occur timely and cover key areas within the audit
• Provides training, coaching, and auditing expertise to the audit team
• Operates independently; has in-depth knowledge of business unit/function
• As subject area expert, provides comprehensive, in-depth consulting and leadership to team and partners at a high technical level
• Carries out activities that are large in scope, cross-functional and technically difficult
• Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities
• Leading continuous monitoring meetings with business and Audit Services management 


  • College or University degree and auditing and/or systems experience in a financial institution or similar public accounting experience in the financial services industry is preferred

  • Knowledge of audit procedures and standards usually obtained through related work experience and a four year degree program is required 

  • Has a comprehensive understanding of the Audit Services' Internal Audit Charter, Policy and Methodology and adheres to all applicable requirements within those documents

  • Knowledge of corporate policies and procedures that relate to auditing/accounting standards and analytical skills are necessary to prepare audits

  • Knowledge of the operations, functions, and objectives of interfacing areas is required to properly audit operations, services, systems, workflow, and operational impact on other areas

  • Excellent oral and written communication skills are required

  • Must be flexible and adaptive to change  

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