Senior Manager - Capital Markets, Internal Audit

Senior Manager Capital Markets

As a Senior Manager Capital Markets, you will be responsible for coverage of a specific business within RBC Capital Markets US, performing continuous risk monitoring activities to develop and maintain the annual audit plan and leading the execution of internal audits in a team-based environment to assess the effectiveness of controls and compliance with governmental regulation.

What will you do?

• Lead auditor of the Capital Markets U.S. business with specialization of one or more underlying business units.
• Work in a team-based environment including with other functional teams as project lead providing coaching and support to junior team members and be responsible for all aspects of an audit.
• Draft the audit plan that ensures adequate coverage of all risks to permit the issuance of an overall opinion on internal controls and risk management practices to senior management.
• Execute the audit plan and ensure effective audit practices for traditional and continuous audits.
• Identify high value audit observations, communicate, and gain agreement with both audit leadership and audit stakeholders
• Document findings and assess general impact on potential consequences of recommendations.
• Participate in complex and confidential/special audit projects enterprise wide as requested by RBC senior management.
• Ensure appropriate working paper evidence of findings is maintained.
• Manage performance of audit work and review working papers.
• Lead continuous monitoring activities including reviewing relevant data and meeting with key stakeholders to provide ongoing risk assessments.
• Supports other internal Audit groups in execution of their audit plans as necessary.
• Identifies and recommends efficiency opportunities within the business.

What do you need to succeed?

Must-have

• 7+ years of experience in financial services internal audit (preferably Banking)
• Working knowledge of Capital Markets lines of business (e.g., Global Markets, Investment Banking, Cash Management) and products (e.g., derivatives, repos, IPO, FX)
• Proven ability to produce well written work products and effective communication along with value added observations/recommendations
• Highly proficient in the use of Microsoft Excel, Word and PowerPoint.
• Strong problem solving and negotiating skills to mitigate conflicts arising from difficult situations
• Proficient time management, organizational, and project management skills. Ability to pivot through working on multiple deliverables with tight deadlines

Nice to haves:

• Certified Internal Auditor, Certified Public Accountant, or other relevant professional certifications
• A strong understanding of Data Analytics, data visualization and reporting.
• Knowledge of US regulatory standards, auditing standards and business processes in the financial securities environment

What's in it for you?

• A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
• 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 building close relationships with clients

The good-faith expected salary range for the above position is $120,000-$200,000 depending on factors including but not limited to the candidate's experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.

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-Oriented

Additional Job Details

Address: GOLDMAN SACHS TOWER, 30 HUDSON STREET: JERSEY CITY

City: Jersey City

Country: United States of America

Work hours/week: 40

Employment Type: Full time

Platform: INTERNAL AUDIT

Job Type: Regular

Pay Type: Salaried