What are the responsibilities and job description for the Internal Audit Manager- HR, Legal, and Compliance position at RBC Capital Markets, LLC?
Job Summary
Job Description
What is the opportunity?
As a Manager within the US Internal Audit Compliance, Human Resources and Legal team, you will execute audit engagements to provide independent objective risk assessment and evaluation of the effectiveness of risk management practices, internal control and corporate governance processes within the Human Resources, Legal, Chief Administrative Offices (CAO) and Compliance groups.
You will examine the business unit's control environment to determine whether it effectively identifies and mitigates risk and to recommend valuable changes, where appropriate. Additionally, you will deliver results to enable business and functional units to align with financial and regulatory requirements, adhere to RBC policies and procedures and implement industry trends.
The RBC Internal Audit department leverages a unique perspective- with a coordinated view across the entire business-to deliver valuable advice that not only gives assurance, but that illuminates a bigger picture, connects dots, builds best practices, and broadens possibilities. We connect intelligence to protect and enable RBC and seek self-motivated professionals who can work and learn independently, communicate, and collaborate effectively with others at all levels in the organization, and who thrive on tackling challenging issues and creating novel solutions.
What will you do?
- Own US auditable entities associated with Human Resources, Law, and CAO functions.
- Coordinate with the global audit leads in these areas to support risk assessment, plan development, and audit execution while building and maintaining an effective relationship with key stakeholders in these auditable entities.
- Support the US Compliance audit plan.
- For assigned audits in Human Resources, Legal, CAO, and Compliance, prepare work papers to support audit scope, objectives, work performed, and findings and conclusions reached.
- Contribute to the success of our engagements and projects by maintaining Internal Audit standards in the planning, execution and reporting of information and ensuring audits are delivered on time and of the highest quality.
- Provide consulting and advisory services which are consistent with our role to evaluate and improve the effectiveness of risk management, control, and governance processes.
- Monitor management's progress in their corrective actions and test to ensure they are implemented in a timely manner to effectively address the issues.
What do you need to succeed?
Must-have
- 3-5 years of internal audit or risk experience, ideally within financials services
- Undergraduate degree in business, human resources, finance, or related field.
- Strong written and verbal communication and presentation skills, with experience interacting with senior management and executives.
- Strong understanding of risk and control concepts, with ability to evaluate materiality and significance of deviations and an ability to quickly understand the risks to formulate practical audit procedures.
- Excellent analytical, problem solving, time management and organizational skills.
Nice-to-have
- Prior coverage of Human Resource and/ or Legal.
- Professional accounting or audit certification.
- Experience using data analytics.
- Knowledge of the regulatory environment within the financial services industry, specifically US regulatory requirements related to Human Resources.
What's in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.
- Leaders who support your development through coaching and managing opportunities.
- Ability to make a difference and lasting impact.
- Work in a dynamic, collaborative, progressive, and high-performing team.
- Opportunities to do challenging work.
- Opportunities to build close relationships with clients.
The expected salary range for this particular position is $80,000-$135,000 depending on your experience, skills, and registration status, market conditions and business needs.
You have the potential to earn more through RBC's discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.
RBC's compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:
- Drives RBC's high-performance culture
- Enables collective achievement of our strategic goals
- Generates sustainable shareholder returns and above market shareholder value
Job Skills
Adaptability, Auditing, Commercial Acumen, Communication, Detail-Oriented, Internal Controls, Interpersonal Relationship Management, Long Term Planning, Results-OrientedAdditional Job Details
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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above
Inclusion and Equal Opportunity Employment
At RBC, we embrace diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an equitable workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities.
We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process.
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Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.rbc.com.
RBC is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status or any other legally-protected factors.
Salary : $80,000 - $135,000
