Sr. Manager, TORIC Audit Interactions

Address:
1200 E. Warrenville Road

Job Family Group:
Audit, Risk & Compliance

MANDATE

Under the direction of the Director - Audit and Regulatory Interactions, the Senior Manager - Audit Interactions supports and coordinates the Financial Crimes Unit (FCU), Data and Analytics (DnA) and Technology first line audit activities. The role is responsible for ensuring the appropriate control frameworks and stakeholder engagement models are established to facilitate appropriate risk outcomes. The role partners with all levels including executives and senior management across the FCU pillars, Technology teams, DnA group, and the T&O Risk and Independent Controls (TORIC) 1B teams, providing guidance and advise related to Information and Technology risk audits ensuring awareness and mitigation of potential areas of risk. This role is viewed as the liaison between Corporate Audit/External Auditors and the 1A teams.

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ACCOUNTABILITIES
  • Interfaces to FCU, Technology and DnA executives and senior management, providing guidance and counsel related to Information Security / Cyber and Technology Risk for internal and external audit activities and for facilitating awareness and mitigation of potential areas of risk.
  • Supports the development, implementation, and operationalization of the Stakeholder Engagement/Interaction Model related to FCU, DnA, and Technology audits and interactions; manages interactions with the FCU, Technology and DnA organization, relevant TORIC 1B partners, and 3rd Line of Defense.
  • Leads and/or supports audit activities across the FCU, Technology, and DnA portfolios in Canada and US; and support International audits and teams when/if needed.
  • Oversees and reviews pre-audit and audit activities such as the completion of a Self-Identified Issues, the coordination and/or initial drafting of documentation, completion of Pull List activities, coordination of audit prep meetings/walkthrough dry runs and audit meetings as appropriate and being able to help tie the story together/connecting the dots across end to end processes by engaging with key stakeholders,
  • Understands the controls across the Process, Risk, and Control (PRC) Libraries for the FCU pillars, Technology, and DnA.
  • Ensures the FCU, Technology, and DnA teams adhere to control objectives that are specified in the Bank, by Corporate Audit Division, and applicable regulatory requirements and reporting (e.g. SOX, PCI, SOC).
  • Provides Director, Audit and Regulatory Interactions and relevant leadership and other key stakeholder's ongoing updates of in-flight audits to include issues and issue mitigation.
  • Provides thought leadership and risk analysis on potential audit issues and provides effective challenge where applicable. Recommends actions to respond to additional in-flight audit requests and/or observations.
  • Co-ordinates the 1As position on proposed audit observations or findings and facilitates response along with the Director, Audit and Regulatory Interactions, Head of TORIC Audit & Regulatory Interactions and 1A Senior Management.
  • Facilitates meetings with teams as a means to ensure audit targets are met and oversees/reviews the development of audit responses and evidences provided.
  • Tracks and reports on all audit activities.
  • Review results of audits tracking any notes themes and trends that can be applied across the 1As.
  • Builds and maintains strong partnerships with internal clients and other business stakeholders; fosters effective relationships with internal and external auditors and other TORIC 1B teams.
  • Facilitates meetings with Audit during remediation as a means to provide status update.
  • Makes recommendations to enhance the audit program activities to drive a stronger audit program.
  • Reviews reports from risk assessments to remain informed on the type of issues that are being identified that might impact T&O audits.
  • Proactively familiarizes oneself with the bank policies and standards.
  • Provides first level of internal validation and effective challenge.
  • Reviews and provides feedback on updated and/or draft policies and corporate standards.
  • Establishes a culture and work environment that attracts, retains and motivates a diverse, skilled workforce in order to maintain a high degree of employee professionalism, commitment and desire to maintain updated skills and knowledge in support of a high-performance culture.
  • Provides leadership and direction on behalf of the Director, Audit and Regulatory Interactions when required.
  • Coaches, motivates, mentors junior teams members and provides guidance with fulling requests and in the resolution of complex issues to other team members.
  • Continues with development opportunities (both in domain areas and leadership skills), including the identification of training needs, participation in and sharing of information across the team.
  • Ability to influence and create sense of urgency as required.


Qualifications

Skills & Experience:
  • Possesses a university degree/college diploma in related discipline(s) or equivalent work experience, and/or 10+ years' experience in an information security environment preferably with knowledge of Audit and Risk Management. Financial industry experience desired.
  • Strong knowledge and understanding of emerging technologies as they pertain to external regulatory requirements (e.g., PIPEDA, SOX, ISO, CoBIT, COSO, GLBA).
  • Advanced knowledge of industry directions and trends in Information Security, Risk Management and Regulations.
  • Exhibits advanced knowledge of one or more security processes and technologies.
  • CISA, CISM, CISSP, CRISC or other related professional security certifications preferred; possesses strong knowledge of Information/Cyber Security and Technology domains.
  • Demonstrates a comprehensive understanding of how areas of IT and IS controls collectively integrate to contribute to achieving business goals (good industry knowledge is expected).
  • Possesses advanced written and verbal communication skills. Is able to articulate points effectively and succinctly.
  • Demonstrates advanced decision and risk analysis skills.
  • Excellent time management skills.
  • Displays solid relationship management and leadership skills, working collaboratively with cross functional group to be able to create inclusive partnerships and trust.
  • Possesses highly developed facilitation, presentation, negotiation and follow up skills.
  • Is a team player who is self-motivated and goal oriented.
  • Strong meeting management and facilitation, and documentation skills.
  • Ability to identify process improvements, automation opportunities, and ways to streamline and/or make interactions more effective.
  • Detailed knowledge of financial industry regulatory environment and risk management practices, and thorough understanding of local and federal regulations preferred.
  • Ability to operate effectively in a matrix environment.


CROSS-FUNCTIONAL RELATIONSHIPS

This job requires the incumbent to interact with the following processes and/or groups:
  • Internal Corporate Audit
  • External Auditors
  • FCU, Technology, DnA leadership and team members
  • FCU, Technology and DnA governance functions
  • TORIC 1B teams and leadership
  • 2nd Line Enterprise Risk Management, Risk Support Areas (RSAs)
  • Operational Risk
  • Enterprise Regulatory Office


We're here to help

At BMO Harris Bank we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO Harris Bank team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.

To find out more visit us at https://jobs.bmoharris.com.

BMO Harris Bank is committed to an inclusive, equitable and accessible workplace. By learning from each other's differences, we gain strength through our people and our perspectives. BMO Harris Bank N.A. is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.