7 Regulatory Reporting jobs in Toronto
Regulatory Reporting Change Management Lead-Vice President
Mississauga, Ontario
Citigroup
Posted 23 days ago
Job Viewed
Job Description
**About the Organization**
SMBIC Data and Regulatory Operations Group is a global team operating in over 20 countries, providing essential support to key business lines including Markets, Services, and Wealth Management. We provide an array of services to enable client lifecycle transactions; from relationship establishment, supporting the data demands surrounding instruments and delivering non-financial reporting to our regulators.
The Regulatory Operations Change Team, within SMBIC Data and Regulatory Operations, is responsible for the execution of regulatory change initiatives, including:
+ Implementation of new regulations and changes to existing regulations
+ Remediate issues noted by regulators and auditors
+ Build controls strategic framework
**Role Overview**
Regulatory Reporting Change Management Lead is a highly organized and experienced senior change manager to support the execution of Non-Financial Regulatory Reporting project portfolio. This role will be responsible for supporting the planning, and execution of change management activities related to both the implementation of new regulations and business-as-usual (BAU) remediation activities. The ideal candidate will have a solid understanding of regulatory reporting requirements, markets practices, and proven experience in running change initiatives in a fast-paced environment. This role is crucial for ensuring the firm's compliance with evolving regulations, minimizing regulatory risk, and maintaining a competitive edge in the global markets.
**Responsibilities**
+ **Support** the Change Management Lead in the direct management of multiple regulatory reporting projects, ensuring alignment with strategic objectives and regulatory requirements.
+ **Provide guidance and mentorship** to junior team members, fostering a collaborative and high-performance culture.
+ **Work closely** with business functions (e.g., Operations, Middle Office, Front Office, Technology, Compliance, Legal and Finance) to execute necessary policy, process, and technology change, ensuring buy-in and alignment across the organization.
+ **Liaise** with Business Execution and Transformation teams on topics relating to program oversight, risk monitoring, financial and administrative reporting, providing regular updates and insights on program progress to the Change Management Lead.
+ **Support** the governance of program / projects including facilitation of steering committee and working groups, ensuring effective decision-making and alignment on priorities.
+ **Identify** key project risks, whether stated or not, and escalate accordingly, mitigating potential delays and cost overruns.
+ **Ensure** that the delivery from the workstreams/projects meets requirements and is to the appropriate quality, on time and within budget, in accordance with the program plan and governance, minimizing regulatory penalties and reputational damage.
**Qualifications**
+ Minimum of 8 years of financial services experience, with a focus on global markets trading and investment banking operations.
+ Demonstrated knowledge of capital markets products, including cash securities, exchange-traded derivatives, and OTC derivative products.
+ Demonstrated knowledge of one or more non-financial regulatory reporting regulations - CFTC, SEC, CSA, CAT, EMIR, SFTR, MiFID II/MiFIR, etc.
+ Demonstrated experience in the successful implementation of projects, operational process change and improvement.
+ Experience in working with cross-functional teams including business management, middle office, compliance, legal and technology.
+ Experience in collecting, defining, and documenting business and technology requirements, test plans and other project management artifacts.
+ Experience in consulting with project stakeholders, including the skills to facilitate compromises and resolve conflicting requirements. Strong consulting and stakeholder management skills and the ability to build and foster internal relationships
+ Knowledge and a technical understanding of securities processing including product, process and system knowledge.
+ Strong Microsoft Office skills; including Visio and Project
**Competencies**
+ **Execution/delivery focus** with a willingness to challenge the status-quo and drive continuous improvement in change management processes.
+ **Strong organizational and program management skills.** Flexibility to handle changing priorities proactively and manage multiple projects simultaneously.
+ **Excellent oral and written communication skills** and ability to facilitate discussions and present to stakeholders.
+ **Ability to lead planning sessions** challenging the status quo where appropriate and drive decision-making processes.
+ **Ability to work under pressure** and manage tight deadlines or unexpected changes in expectations or requirements.
+ **A strong knowledge of the techniques for planning, monitoring, and controlling programs and resources.**
+ **Ability to create and deliver presentations to management** , effectively communicating program status, risks, and opportunities.
+ **Ability to quickly grasp and master new concepts/requirements and related product/functional knowledge.**
+ **Ability to learn/understand some technical implications of system design.**
+ **Ability to work independently, multi-task, and take ownership of various parts of a project or initiative.**
+ **Strong influencing and negotiation skills,** with the ability to build consensus and drive alignment across diverse stakeholder groups.
+ **Excellent analytical and problem-solving skills** , with the ability to identify root causes and develop effective solutions to complex challenges
**Education**
+ Bachelor's/University degree, Master's degree preferred
---
**Job Family Group:**
Finance
---
**Job Family:**
Regulatory Reporting
---
**Time Type:**
Full time
---
**Primary Location Full Time Salary Range:**
$120,800.00 - $170,800.00
---
**Most Relevant Skills**
Business Acumen, Change Management, Communication, Data Analysis, Financial Acumen, Internal Controls, Issue Management, Problem Solving, Regulatory Reporting.
---
**Other Relevant Skills**
For complementary skills, please see above and/or contact the recruiter.
---
_Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law._
_If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review_ _Accessibility at Citi ( _._
_View Citi's_ _EEO Policy Statement ( _and the_ _Know Your Rights ( _poster._
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
SMBIC Data and Regulatory Operations Group is a global team operating in over 20 countries, providing essential support to key business lines including Markets, Services, and Wealth Management. We provide an array of services to enable client lifecycle transactions; from relationship establishment, supporting the data demands surrounding instruments and delivering non-financial reporting to our regulators.
The Regulatory Operations Change Team, within SMBIC Data and Regulatory Operations, is responsible for the execution of regulatory change initiatives, including:
+ Implementation of new regulations and changes to existing regulations
+ Remediate issues noted by regulators and auditors
+ Build controls strategic framework
**Role Overview**
Regulatory Reporting Change Management Lead is a highly organized and experienced senior change manager to support the execution of Non-Financial Regulatory Reporting project portfolio. This role will be responsible for supporting the planning, and execution of change management activities related to both the implementation of new regulations and business-as-usual (BAU) remediation activities. The ideal candidate will have a solid understanding of regulatory reporting requirements, markets practices, and proven experience in running change initiatives in a fast-paced environment. This role is crucial for ensuring the firm's compliance with evolving regulations, minimizing regulatory risk, and maintaining a competitive edge in the global markets.
**Responsibilities**
+ **Support** the Change Management Lead in the direct management of multiple regulatory reporting projects, ensuring alignment with strategic objectives and regulatory requirements.
+ **Provide guidance and mentorship** to junior team members, fostering a collaborative and high-performance culture.
+ **Work closely** with business functions (e.g., Operations, Middle Office, Front Office, Technology, Compliance, Legal and Finance) to execute necessary policy, process, and technology change, ensuring buy-in and alignment across the organization.
+ **Liaise** with Business Execution and Transformation teams on topics relating to program oversight, risk monitoring, financial and administrative reporting, providing regular updates and insights on program progress to the Change Management Lead.
+ **Support** the governance of program / projects including facilitation of steering committee and working groups, ensuring effective decision-making and alignment on priorities.
+ **Identify** key project risks, whether stated or not, and escalate accordingly, mitigating potential delays and cost overruns.
+ **Ensure** that the delivery from the workstreams/projects meets requirements and is to the appropriate quality, on time and within budget, in accordance with the program plan and governance, minimizing regulatory penalties and reputational damage.
**Qualifications**
+ Minimum of 8 years of financial services experience, with a focus on global markets trading and investment banking operations.
+ Demonstrated knowledge of capital markets products, including cash securities, exchange-traded derivatives, and OTC derivative products.
+ Demonstrated knowledge of one or more non-financial regulatory reporting regulations - CFTC, SEC, CSA, CAT, EMIR, SFTR, MiFID II/MiFIR, etc.
+ Demonstrated experience in the successful implementation of projects, operational process change and improvement.
+ Experience in working with cross-functional teams including business management, middle office, compliance, legal and technology.
+ Experience in collecting, defining, and documenting business and technology requirements, test plans and other project management artifacts.
+ Experience in consulting with project stakeholders, including the skills to facilitate compromises and resolve conflicting requirements. Strong consulting and stakeholder management skills and the ability to build and foster internal relationships
+ Knowledge and a technical understanding of securities processing including product, process and system knowledge.
+ Strong Microsoft Office skills; including Visio and Project
**Competencies**
+ **Execution/delivery focus** with a willingness to challenge the status-quo and drive continuous improvement in change management processes.
+ **Strong organizational and program management skills.** Flexibility to handle changing priorities proactively and manage multiple projects simultaneously.
+ **Excellent oral and written communication skills** and ability to facilitate discussions and present to stakeholders.
+ **Ability to lead planning sessions** challenging the status quo where appropriate and drive decision-making processes.
+ **Ability to work under pressure** and manage tight deadlines or unexpected changes in expectations or requirements.
+ **A strong knowledge of the techniques for planning, monitoring, and controlling programs and resources.**
+ **Ability to create and deliver presentations to management** , effectively communicating program status, risks, and opportunities.
+ **Ability to quickly grasp and master new concepts/requirements and related product/functional knowledge.**
+ **Ability to learn/understand some technical implications of system design.**
+ **Ability to work independently, multi-task, and take ownership of various parts of a project or initiative.**
+ **Strong influencing and negotiation skills,** with the ability to build consensus and drive alignment across diverse stakeholder groups.
+ **Excellent analytical and problem-solving skills** , with the ability to identify root causes and develop effective solutions to complex challenges
**Education**
+ Bachelor's/University degree, Master's degree preferred
---
**Job Family Group:**
Finance
---
**Job Family:**
Regulatory Reporting
---
**Time Type:**
Full time
---
**Primary Location Full Time Salary Range:**
$120,800.00 - $170,800.00
---
**Most Relevant Skills**
Business Acumen, Change Management, Communication, Data Analysis, Financial Acumen, Internal Controls, Issue Management, Problem Solving, Regulatory Reporting.
---
**Other Relevant Skills**
For complementary skills, please see above and/or contact the recruiter.
---
_Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law._
_If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review_ _Accessibility at Citi ( _._
_View Citi's_ _EEO Policy Statement ( _and the_ _Know Your Rights ( _poster._
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
This advertiser has chosen not to accept applicants from your region.
0
Business System Analyst - Basel, US Regulatory Reporting Big Data, Data Lake
Toronto, Ontario
Astra North Infoteck Inc.
Posted 20 days ago
Job Viewed
Job Description
Skills Required: • Business Analysis• Capital Markets and Financial ServicesJob description:• Understand the client’s business and factor client opportunities and risks into formal requirements, by conducting comprehensive information gathering sessions & documentation.• Highlight scope, financial data sourcing requirements and gaps, quantitative and qualitative factors.• Function as a liaison between the business and the project team, including developers, testers and other downstream data sourcing teams.• Recommends business solutions that satisfy sponsor/stakeholder needs continually exploring and assessing options for value-add to clients.• Prepare detailed business requirements (data sourcing mapping documents), identify, track and resolve business systems issues.• Ensure traceability of requirements to deliverables, test cases.• Contributes to successful project completion by identifying risks and developing/recommending mitigation strategies, as well as successful completion of project objectives within budget, time and Project Office methodology.• BASEL regulatory reporting, Capital Markets, Finance Systems, US Regulatory Reporting, Seasoned BA who is a self-starter with ability to hit the ground running Past experience in BASEL regulatory reporting capital calculations credit risk• Skilled and experienced in dealing with large volumes of data (very good at SQL)• Knowledge of Drools will be an added advantageNice-to-have:• CBAP / CFA / CSC certification• Big Data Hadoop, Data Lakes experience• Finance BSA SQL US Regulatory CM derivative Financial Product Data modeling~Experience Required: 8 years
This advertiser has chosen not to accept applicants from your region.
1
SVP - Senior Audit Manager - Regulatory Capital (Spot RWA) Reporting - Mississauga (Hybrid)
Mississauga, Ontario
Citigroup
Posted 18 days ago
Job Viewed
Job Description
The Senior Audit Manager is a senior level position responsible for developing and executing a robust Audit Plan, in coordination with the Audit team. The overall objective of this role is to apply a comprehensive understanding of different Internal Audit (IA) standards, to direct complex audit activities for a component of the business at a regional or country level. This role focuses specifically on assessing Citi's control environment supporting the spot capital and risk weighted assets (RWA) calculation and reporting requirements under the U.S. regulatory capital (Basel) rules (i.e., Regulation Q - 12 CFR 217 and 12 CFR Part 3).
**Responsibilities:**
+ Manage end-to-end audit processes including the execution of substantive (conformance and transaction) testing and control (design and operation) testing activities to support an opinion on the effectiveness of the spot RWA reporting process and control environment.
+ Oversee the tracking, review, and delivery of issues validation partnering with Management to ensure appropriateness and effectiveness of corrective action plans.
+ Partner with Management and other audit teams to lead business monitoring activities including periodic updates to risk assessment scores.
+ Analyze findings and escalate concerns in a timely manner, where needed.
+ Implement integrated auditing concepts and technology and follow trends in the Audit field and adapt them for the Audit function.
+ Participate in major business initiatives and pro-actively advise and assist the business on change initiatives.
+ Partner with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues.
+ Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
**Qualifications:**
+ 10+ years of experience in a related audit or related RWA and regulatory reporting role (e.g., FFIEC 101, FFIEC 102, FR Y-9C, FFIEC 031, Pillar III).
+ Demonstrated success in business, functional and people management.
+ Proven ability to execute concurrently on a portfolio of high-quality deliverables according to strict timetables.
+ Demonstrated ability to implement continuous improvement and innovation in audit tools and techniques.
+ Consistently demonstrates clear and concise written and verbal communication.
+ Demonstrated ability to remain unbiased in a diverse working environment.
+ Effective time management and negotiation skills
**Education:**
+ Bachelor's degree/University degree or equivalent experience.
+ Master's degree preferred.
+ Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred.
---
**Job Family Group:**
Internal Audit
---
**Job Family:**
Audit
---
**Time Type:**
Full time
---
**Primary Location Full Time Salary Range:**
$141,600.00 - $212,400.00
---
**Most Relevant Skills**
Control Monitoring, Data Analysis, Industry Knowledge, Issue Management, Laws and Regulations, Professional Standards, Risk Management, Root Cause Analysis.
---
**Other Relevant Skills**
Management Reporting, Professional Judgement, Waterfall Model.
---
_Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law._
_If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review_ _Accessibility at Citi ( _._
_View Citi's_ _EEO Policy Statement ( _and the_ _Know Your Rights ( _poster._
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
**Responsibilities:**
+ Manage end-to-end audit processes including the execution of substantive (conformance and transaction) testing and control (design and operation) testing activities to support an opinion on the effectiveness of the spot RWA reporting process and control environment.
+ Oversee the tracking, review, and delivery of issues validation partnering with Management to ensure appropriateness and effectiveness of corrective action plans.
+ Partner with Management and other audit teams to lead business monitoring activities including periodic updates to risk assessment scores.
+ Analyze findings and escalate concerns in a timely manner, where needed.
+ Implement integrated auditing concepts and technology and follow trends in the Audit field and adapt them for the Audit function.
+ Participate in major business initiatives and pro-actively advise and assist the business on change initiatives.
+ Partner with Directors and Managing Directors to develop approaches for addressing broader corporate emerging issues.
+ Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency
**Qualifications:**
+ 10+ years of experience in a related audit or related RWA and regulatory reporting role (e.g., FFIEC 101, FFIEC 102, FR Y-9C, FFIEC 031, Pillar III).
+ Demonstrated success in business, functional and people management.
+ Proven ability to execute concurrently on a portfolio of high-quality deliverables according to strict timetables.
+ Demonstrated ability to implement continuous improvement and innovation in audit tools and techniques.
+ Consistently demonstrates clear and concise written and verbal communication.
+ Demonstrated ability to remain unbiased in a diverse working environment.
+ Effective time management and negotiation skills
**Education:**
+ Bachelor's degree/University degree or equivalent experience.
+ Master's degree preferred.
+ Related certifications (CPA, ACA, CFA, CIA, CISA or similar) preferred.
---
**Job Family Group:**
Internal Audit
---
**Job Family:**
Audit
---
**Time Type:**
Full time
---
**Primary Location Full Time Salary Range:**
$141,600.00 - $212,400.00
---
**Most Relevant Skills**
Control Monitoring, Data Analysis, Industry Knowledge, Issue Management, Laws and Regulations, Professional Standards, Risk Management, Root Cause Analysis.
---
**Other Relevant Skills**
Management Reporting, Professional Judgement, Waterfall Model.
---
_Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law._
_If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review_ _Accessibility at Citi ( _._
_View Citi's_ _EEO Policy Statement ( _and the_ _Know Your Rights ( _poster._
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
This advertiser has chosen not to accept applicants from your region.
2
Senior Consultant - Risk and Compliance (Financial Crimes)
Toronto, Ontario
SIA
Posted today
Job Viewed
Job Description
Job Description
Additional Information
Job Description
Company Description
Sia is a next-generation, global management consulting group. Founded in 1999, we were born digital. Today our strategy and management capabilities are augmented by data science, enhanced by creativity and driven by responsibility. We’re optimists for change and we help clients initiate, navigate and benefit from transformation. We believe optimism is a force multiplier, helping clients to mitigate downside and maximize opportunity. With expertise across a broad range of sectors and services, our 3,000 consultants serve clients worldwide from 48 locations in 19 countries. Our expertise delivers results. Our optimism transforms outcomes.
Strategy & Management Consulting
Sia’s Strategy & Management Consulting global footprint and expertise in more than 40 sectors and services allow us to enhance our clients' businesses worldwide. We guide their projects and initiatives in strategy, business transformation, IT & digital strategy.
Financial Institutions have drastically changed over the last decade, driven by increased regulatory constraints, diverse competition inside and beyond traditional banking organizations, and emerging technologies reshaping long-standing ecosystems. Sia’s Financial Services Business Unit provides a comprehensive suite of core capabilities designed to address the diverse and evolving needs of our clients, enabling them to navigate complex challenges, seize new opportunities, and achieve their strategic objectives in an increasingly competitive and dynamic business environment.
Job DescriptionResponsibilities
- Develop and implement AML and sanctions compliance programs tailored to clients' specific needs and regulatory requirements
- Conduct comprehensive risk assessments to identify potential money laundering and sanctions risks within clients' operations and provide recommendations for mitigation
- Review and enhance existing AML and sanctions policies, procedures, and controls to ensure compliance with applicable laws, regulations, and industry best practices
- Advise clients on the design and implementation of transaction monitoring and screening systems to detect and report suspicious activities and sanctioned entities
- Provide training and guidance to clients' employees on AML and sanctions-related topics, including identification of red flags, reporting obligations, and internal reporting mechanisms
- Conduct investigations and due diligence on high-risk clients or transactions to evaluate potential AML and sanctions violations
- Stay up to date with the latest AML and sanctions regulations, industry trends, and emerging risks, and proactively advise clients on necessary adjustments to their compliance programs
- Collaborate with cross-functional teams, including legal, risk management, and technology, to ensure effective integration of AML and sanctions controls across the organization
Prepare and present reports and recommendations to clients' senior management and regulatory authorities, as needed
QualificationsQualifications
- Bachelor's degree in a relevant field such as finance, business, or law
- 4+ years of experience in AML and sanctions compliance within the financial services industry or consulting firm
- Knowledge of Canadian AML/ATF laws and regulations and industry practices.
- Knowledge of AML and sanctions regulations, including but not limited to the Bank Secrecy Act (BSA), USA PATRIOT Act, Office of Foreign Assets Control (OFAC) sanctions, and Financial Action Task Force (FATF) recommendations
- Strong understanding of AML and sanctions typologies, risk assessment methodologies, and transaction monitoring systems
- Previous support of designing and implementing AML and sanctions compliance programs for financial institutions or multinational corporations
- Excellent analytical skills with the ability to assess complex situations, identify risks, and develop practical solutions
- Strong project management skills, including the ability to manage multiple priorities, meet deadlines, and deliver high-quality work products
- Exceptional written and verbal communication skills, with the ability to effectively present complex information to diverse audiences
- Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS) or Certified Financial Crime Specialist (CFCS) are highly desirable
- Experience with data analytics tools and technologies for AML and sanctions investigations is a plus
Additional Information
ADDITIONAL INFORMATION
All your information will be kept confidential according to EEO guidelines.
Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.
Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.
This advertiser has chosen not to accept applicants from your region.
3
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Experienced Consultant
Toronto, Ontario
Robert Half
Posted 23 days ago
Job Viewed
Job Description
JOB REQUISITION
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Experienced Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As an Experienced Consultant, you'll be provided excellent training and meaningful mentorship to deepen your understanding of business processes and build technical skills. You'll conduct interviews, compile and analyze data, and document findings. Through interaction with client and project team personnel, you'll develop professional relationships that contribute to exceptional client service. You'll learn time and project management and take ownership of assignments.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program reviews and reme diation validation testing.
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experience .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking out opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 1 + years working in regulatory compliance either as a regulatory examiner o r in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Experienced Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As an Experienced Consultant, you'll be provided excellent training and meaningful mentorship to deepen your understanding of business processes and build technical skills. You'll conduct interviews, compile and analyze data, and document findings. Through interaction with client and project team personnel, you'll develop professional relationships that contribute to exceptional client service. You'll learn time and project management and take ownership of assignments.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program reviews and reme diation validation testing.
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experience .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking out opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 1 + years working in regulatory compliance either as a regulatory examiner o r in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
This advertiser has chosen not to accept applicants from your region.
4
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Senior Consultant
Toronto, Ontario
Robert Half
Posted 23 days ago
Job Viewed
Job Description
JOB REQUISITION
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Senior Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Senior Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As a Senior Consultant, you will be a mentor, trainer, and coach to Interns and Consultants as you facilitate the successful completion of project work plans. You'll identify areas of risk and opportunities to increase efficiency. You'll strengthen relationships and deepen your abilities to communicate, gain trust, and network with client personnel and professional associates. At the direction of Managers, you may accept responsibility for decision-making in areas including establishing project scope and work plans, project staffing, preparation of deliverables, and application of methodologies. By focusing on clients and engagements in the financial services industry, you'll partner with highly regulated clients and deepen your understanding of financial services regulations.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program review s , and remediation validation testing .
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experiences .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 2 + years working in regulatory compliance either as a regulatory examiner or in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
Toronto Risk & Compliance - Regulatory Compliance (Financial Services) Senior Consultant
LOCATION
TORONTO
ADDITIONAL LOCATION(S)
JOB DESCRIPTION
You Belong Here
The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver .
At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm.
Where We Need You
Protiviti is looking for a Risk and Compliance Experienced Senior Consultant to join our growing Regulatory Compliance team.
Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies.
What You Can Expect
As a Senior Consultant, you will be a mentor, trainer, and coach to Interns and Consultants as you facilitate the successful completion of project work plans. You'll identify areas of risk and opportunities to increase efficiency. You'll strengthen relationships and deepen your abilities to communicate, gain trust, and network with client personnel and professional associates. At the direction of Managers, you may accept responsibility for decision-making in areas including establishing project scope and work plans, project staffing, preparation of deliverables, and application of methodologies. By focusing on clients and engagements in the financial services industry, you'll partner with highly regulated clients and deepen your understanding of financial services regulations.
What Will Help You Be Successful
+ You are familiar with Canadian regulatory landscape and trends, including the increasing focus on risk frameworks and methodologies.
+ You are motivated to learn and interested in all things related to regulatory compliance , including emerging regulations.
+ Being able to support compliance program review s , and remediation validation testing .
+ You have regulatory compliance testing, monitoring and /or oversight experience.
+ You are passionate about building relationships with clients and providing clients with exceptional experiences .
+ You have an inherent interest in project management and team leadership.
+ You contribute to a positive team culture that fosters open communication among all engagement team members.
+ You create development opportunities for others and ways for your team to improve our clients and communities.
+ You have interest in working with a diverse portfolio of clients across the financial services industry .
Do Your Talents Include the Following?
+ Experience with or understanding of:
+ Develop an understanding of the client's business and industry, their business processes, and business risks.
+ Bring a fresh perspective to each client engagement, seeking opportunities to innovate in ways that better serve our clients.
+ E valuat ing , summariz ing , organiz ing , and interpret ing data.
+ Establishing and cultivating business relationships and a professional network.
+ Ability to translate and communicate regulatory compliance issues to client personnel, including executives.
+ Supervisory experience of teams including mentoring, oversight and review of work, coordination across teams, and understanding how to motivate.
Your Educational and Professional Qualifications
+ Bachelor's degree in a relevant discipline ( business, finance, risk management or a related field).
+ 2 + years working in regulatory compliance either as a regulatory examiner or in the financial services industry.
+ Skills in data analytics and can interpret complex regulatory data using tools such as Excel, SQL, Power BI or Tableau.
+ Experience in internal audit and/or in second line testing, with a strong understanding of regulatory compliance internal controls and compliance methodologies.
+ Experience working with a regulator, such as a field examiner or policy team member, is highly desirable.
+ Financial Services Industry (FSI) experience, ideally within the second or third line of defense.
Our Hybrid Workplace
Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments .
#LI-Hybrid
Protiviti is not registered to hire or employ personnel in the following states - West Virginia, Alaska.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
All applicants applying for Canadian job openings need authorization to work in Canada for Protiviti without sponsorship now or in the future.
As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check.
Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to or call for assistance.
In your email please include the following:
+ The specific accommodation requested to complete the employment application.
+ The location(s) (city, state) to which you would like to apply.
Protiviti is not registered to hire or employ personnel in the following provinces - New Brunswick, Newfoundland & Labrador, Northwest Territories, Nova Scotia, Nunavut, Prince Edward Island, Quebec, Saskatchewan, Yukon.
Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services.
JOB LOCATION
CAN TORONTO
Protiviti ( ( ) is a global consulting firm that delivers deep expertise, objective insights, a tailored approach and unparalleled collaboration to help leaders confidently face the future. Protiviti and our independent and locally owned Member Firms provide clients with consulting and managed solutions in finance, technology, operations, data, analytics, digital, legal, HR, governance, risk and internal audit through our network of more than 85 offices in over 25 countries.
Named to the 2025 Fortune 100 Best Companies to Work For® ( list, Protiviti has served more than 80 percent of Fortune 100 and nearly 80 percent of Fortune 500 companies. Protiviti is a wholly owned subsidiary of Robert Half (NYSE: RHI ( ). Founded in 1948, Robert Half is a member of the S&P 500 index.
Click HERE ( to receive insights to life at Protiviti and be among the first to hear about new career opportunities that align with your areas of interest.
This advertiser has chosen not to accept applicants from your region.
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