Intermediate Audit Specialist - 5454

Intermediate Audit Specialist

Duration: 6 months, with preferred option to convert to full time.

Location: Hybrid role (2 days/week in Toronto office)

The Retail Wealth Enablement, Operations department plays a pivotal role in our organization's strategic expansion into a new Investment Dealer. Our dedicated team, under the leadership of the AVP, Operations, Retail Wealth Enablement, is responsible for not only initiating and nurturing the wealth management segment but also ensuring operational excellence with a keen focus on first time-right process design. We place a strong emphasis on partner servicing, aligning with internal and external stakeholders, and driving process optimization to create efficient, cost-effective operations that meet both current and future scalability requirements. Our commitment to delivering high-quality wealth solutions, building strong relationships, and driving innovation within the department, all with a cost-conscious approach, is central to our mission of launching a market competitive Investment dealer.

What will you do?

The successful candidate will be responsible for a wide range of activities, from planning and development to the practical execution of wealth management solutions, including the following:

• Conduct File QARs, Reporting, IA Operations

• Subject Matter Expertise: Act as a subject matter expert on initiatives related to day-to-day operational processes.

• Operational Excellence: Deliver operational excellence within the wealth business, ensuring seamless and efficient operations through best-in-class processes.

• Stakeholder Liaison: Build and maintain strong working relationships with internal stakeholders (ie: advisors, compliance, product, management) and external partners (ie: carrying broker, 3rd party vendors, manufacturers).

• Ongoing Support: Support various projects related to the establishment and further enhancement of the dealer platform.

• Processing: Support securities dealer processes and day to day requirements to run the business, including transaction processing, reconciliation, fees, account management, and other operational activities.

• Special Projects as requested.

What do you need to succeed?

• 2-5 years of audit experience in the finance or insurance industries

• Archer experience (or similar audit tool)

• SharePoint and MS Office

• Enrolment in or completion of a professional designation preferred (MBA, CFA)

• As this position is posted in several locations, we specify that bilingualism (French, English, both oral and written) is required for Quebec only as the position reports to a unilingual English-speaking manager outside Quebec.

• Strong knowledge of investment management industry and products and services within the financial services market

• Excellent analytical skills

• Advanced Microsoft Excel and other technical skills

• Excellent attention to detail

• Excellent time management skills

• Strong writing and communication skills

• Aptitude for problem solving

• Demonstrate initiative and ability to demonstrate teamwork and cooperation

• University degree