Occupation Types: Audit

Compliance Audit Analyst

**Posting Deadline: Please submit your application by 11:59 PM PST, November 1, 2022**

Position Type: Permanent

Together, Let’s Do Great Things!

We’re the largest financial institution based on Vancouver Island and the Gulf Islands, and we’ve got an opportunity for you. We are looking for a Compliance Audit Analyst to join our operations team. The Compliance Audit Analyst is a key role in our defense against anti-money laundering/anti-terrorist financing risk, controls, and ongoing compliance of regulatory requirements.

This role is a remote position and is open to candidates throughout British Columbia.

What’s the role?

As the Compliance Audit Analyst you are accountable to plan, manage and execute internal audit for anti-money laundering (AML) related policies in all areas of CCCU. Your role focuses on improving the internal control environment by addressing risks associated with business objectives and evaluates the controls in place to mitigate those risks. As Compliance Audit Analyst you also develop the Credit Union audit plans and self-assessments, provide value-added advice and support to business partners on the creation or modification of policies, procedures, processes, products, or services to ensure an appropriate level of internal control and compliance is maintained.

Your duties will include:

  • Executing the creation of and performing ongoing maintenance of the Compliance Internal Audit Manual, documenting the auditing procedures and examination techniques to be applied.
  • Performing internal audit and risk assessments to ensure compliance with organizational controls, identifying gaps and recommending controls and other countermeasures.
  • Planning the scope of audit, preparing the audit program, and determining the appropriate auditing procedures and examination techniques to be applied (e.g., computer extracts, statistical sampling, etc.) for each audit assignment.
  • Facilitating audit engagement meetings with stakeholders to explain the scope and objectives prior to fieldwork commencing, as well as closing meetings to provide clear explanations of results and actions required.
  • Preparing working papers and audit finding reports in accordance with established guidelines within the Compliance Internal Audit manual
  • Establishing and maintaining relationships with Management and Stakeholders for each audit assignment; planning and participating in report presentation, reviews and follow-up engagements as required.
  • Performing research and analysis of the relevant policy and procedures, and an evaluation of audit related documentation as a basis for an objective opinion on the effectiveness and efficiency of operations and the adequacy of internal control.
  • Providing recommendations relative to the design and effective operation of internal compliance controls.
  • Conducting other compliance reviews, on-site reviews, etc. as needed; and assist as required with the development of action plans for any issues, deficiencies or questions that require remediation.
  • Compiling audit information for periodic dashboard and/or Board of Director reporting.
  • Supporting the compliance team in responding to various regulatory body inquiries, audits, and reviews.

What are we looking for?

  • Bachelor’s Degree or Designation in Finance/Accounting/Auditing requiring 4 years of full-time study or have an equivalent combination of education and experience.
  • Certified Internal Auditor designation is an asset

Ideally, you are a flexible, collaborative team player with:

  • A minimum of 5 years progressive financial experience or an equivalent combination of education and experience.
  • Minimum 3 years’ experience in internal audit, multi-functional banking operations, AML/ Fraud and/or risk management in the Banking or Credit Union industry preferred.
  • Advanced proficiency with Microsoft Office products, including Word, Excel, and Access.
  • Proficiency with the DNA Banking System and Doxim Loans Origination System.
  • Proven experience in providing detailed and accurate information to third parties.
  • Previous experience working on/leading large projects.
  • Previous experience conducting research and preparing reports.
  • Advanced knowledge of PCMLTFA, FATCA and CRS legislation, fraud mitigation, and loss prevention
  • Advanced understanding of internal control concepts and experience in applying them to plan, perform, manage, and report on the evaluation of various business processes/ areas/ functions.
  • Knowledge of internal auditing standards, and risk assessment practices.
  • Knowledge of how to gather, clarify and apply information transmitted in various formats.

If you’re an approachable problem solver who embraces self-development and life-long learning, you’ll be a great fit with us.

Who are we?

Since first forming in 1946, Coastal Community has grown to become the largest financial services provider based on Vancouver Island. We’re proud of the legacy we’ve built and the things that make us who we are:

  • We’re 100% member-owned, with all decisions made locally—right here on Vancouver Island.
  • We’re a growing organization with over $4 billion in assets under management. Coastal Community helps improve the financial health of over 100,000 members and clients through our 24 branches, 16 insurance offices, 4 business centers, plus our wide range of online and digital services.
  • We believe in making meaningful contributions to the communities we call home. Each year, we give over half a million to community organizations and programs.

If you join us you’ll work hard, but have a lot of fun along the way. We offer a generous compensation package and a great work/life balance because we want you to spend your career here. Many people do!

 

Information Governance Lead

The Information Governance Lead is accountable the operation of the Information Governance function, overseeing information governance and management functions.
An Information Governance Lead does the following:
  • Data Definitions and Rules Management
    • Maintains a deep understanding of the business and its data needs to assist with change impact analysis and to ensure data definitions and rules accurately reflects the business needs.
  • Data Controls and Metrics Management
    • Ensures the appropriate system and process data controls are in place or gaps identified to ensure the level of data quality expected by the business.
    • Ensures appropriate metrics are identified to assess data health and identify the risks when these controls are not being effective or are missing.
  • DTGC Support and Reporting
  • Responsible for escalating data risks and issues to the DTGC and ensure decisions are documented and communicated.
  • Acts as a liaison between DTGC and Information Governance Agile team as required.
Visit the CAREERS page or our website to learn more about this position and to apply.  www.innovationcu.ca  Only those applications received through our job board will be considered.

Director, IT Examinations

Organization: Credit Union Deposit Guarantee Corporation, Newfoundland & Labrador
Position Title: Director, IT Examinations
Reports to: Chief Executive Officer
Location: St. John’s, NL
Travel: 20%
Closing Date: May 23, 2022

Who we are
The Mandate of the Credit Union Deposit Guarantee Corporation (CUDGC) is to provide risk-based regulatory oversight and deposit guarantees to enable a safe and sound credit union system in Newfoundland & Labrador.

The primary role is to:
• Provide a guarantee of deposits held with NL credit unions
• Regulate NL credit unions and enforce the Credit Union Act, 2009
• Review, advise and direct credit unions on matters related to legislative compliance and sound business practices
• Monitor credit union performance and implement appropriate actions to improve performance and reduce risks

The Opportunity
We are seeking an experienced individual who can bring new knowledge and skills to the Examination Team and take the lead role in assessing, planning and executing the assessment of credit unions in the areas of Information Technology and Cybersecurity which manage/mitigate the risk to depositor funds and the deposit guarantee funds.
The Director, Information Technology Examinations is a key member of the senior management team and operates with a high degree of autonomy reporting to the Chief Executive Officer. The position develops the risk based Examination plan and the identifies emerging IT security risks to ensure that risk-based supervision activities are applied according to the Corporation’s values and operating principles. In addition, the position is responsible for legislation and regulations interpretations and the effective strategic management of relationships with credit union CEOs and senior management.

Primary Responsibilities
• Leads the design and execution of the risk-based monitoring program that serves in the protection of deposits and recognition of emerging risks
• Creates positive change in IT and risk management practices by facilitating the understanding of review results, making recommendations for improvement and gaining the commitment of the credit union’s board of directors and senior management to evolve their practices
• Manage strategic relationships with credit unions to align with corporate values of co-operation and collaboration
• Identify and advise management on the use of data analytics and other advanced techniques and tools in order to improve efficiency and effectiveness of examination assessments
• Maintains information security competency through ongoing professional development and staying abreast of emerging technologies, risks and controls in information and cyber security

Experience and Qualifications
• 7 years of information and cyber security experience
• 5+ years’ experience as an IT Auditor and strong understanding of IT audit methodologies.
• Minimum post-secondary degree or diploma in computer science, information systems, business or a related field
• CISA, CISSP or equivalent is preferred
• Experience in the assessment of threats and risks over IT processes and assets.
• Experience and knowledge working with security frameworks, including NIST and CIS.
• Experience working in a highly computerized environment and demonstrates an understanding of information technology functionality, architecture, structure and controls.
• Experience working with Technology platforms and must be familiar with performing audits of network, operating systems, applications, databases and other technical areas such as 3rd Party Management
• Knowledgeable in areas such as network security architecture, vulnerability assessments, Data Loss Prevention and web application security
• General understanding of the Canadian financial services regulatory environment would be considered an asset
• Advanced team leadership, relationship management and change management skills
• Excellent relationship building skills with the ability to communicate both verbally and in writing with a wide variety of people
• Demonstrated ability to exercise sound judgement and apply an analytical approach to problem solving and decision making
• An equivalent combination of education and experience will be considered

Salary Information:
Commensurate with qualifications and experience

Conditions of Acceptance
• The Credit Union Deposit Guarantee Corporation values diversity in the work place and is an equal opportunity employer.
• Disability related accommodations and alternate formats are available upon request at any stage of the recruitment process
• The successful candidate will be required to provide a recent Certificate of Conduct.
• Please note that, while we appreciate the interest of all candidates, only those selected for an interview will be contacted.
• Applicants agree that by providing personal information in response to this ad, they consent to the collection, use and disclosure of personal information required for the purposes of recruitment. Personal information will be used solely for the purpose of recruitment considerations for a period of one year following closing date of this competition, unless otherwise noted by the applicant.

Please apply via email to anitawilkins@gov.nl.ca with resume and salary expectations.

Audit Analyst

AUDIT ANALYST

Permanent Full-time

This position could be located in any of the three organization’s locations in considering the needs of the organizations and the successful candidate’s wishes. Travel will be a requirement throughout the geographical area of all three organizations.

Closes February 14

Conexus, Cornerstone and Innovation Credit Unions have built an integrated Internal Audit team.   Our credit unions are committed to helping our members reach their financial goals by reinvesting profits into our members, our communities and our people.  We are looking for someone who can act as a trusted advisor through the direct provision of all Internal Audit services, the provision of leadership, guidance, specialized expertise, and knowledge consistent with the strategies and priorities of the Internal Audit department and our credit unions as a whole.

THE POSITION: 

CUs inSync (partners of Conexus, Innovation and Cornerstone Credit Unions) are seeking a highly motivated individual to join our team. The Audit Analyst will work with senior audit staff conducting risk-based audits which encompass all areas of credit union operations and follow the Institute of Internal Auditors Standards. This position is also responsible for:

  • Providing audit results and assisting in the development of reports to the appropriate audit lead
  • Identifying and assessing risks and opportunities within the credit unions’ and the members’ risk appetite
  • Identifying and assessing compliance with Credit Union Regulations
  • Leveraging technology and partners to provide and enhance the world class member experience
  • Living credit union values and competencies

The successful candidate will be a team-oriented, community minded individual with post-secondary education in a related field and/or a minimum of 5 years financial service experience. Along with proven skills and knowledge of Microsoft Suite and Analytics/Research, the candidate aspires to pursue auditing as his/her career path. Exceptional communication skills as well as a demonstrated commitment to excellence and member service are a necessity.  Prior IT Audit experience would be considered an asset.

Visit the CAREERS page or our website to learn more about this position and to apply.  www.innovationcu.ca  Only those applications received through our job board will be considered.

IT / DATA AUDITOR

This position could be located in any of the three organization’s locations in considering the needs of the organizations and the successful candidate’s wishes. Travel may be a requirement at times, throughout the geographical area of all three organizations.

Closes January 10

Conexus, Cornerstone and Innovation Credit Unions have built an integrated Internal Audit team.   Our credit unions are committed to helping our members reach their financial goals by reinvesting profits into our members, our communities and our people.  We are looking for someone who can act as a trusted advisor through the direct provision of all Internal Audit services, the provision of leadership, guidance, specialized expertise, and knowledge consistent with the strategies and priorities of the Internal Audit department and our credit unions as a whole.

THE POSITION:

Reporting to the VP, Internal Audit, the CUs inSync partners of Conexus, Innovation and Cornerstone Credit Unions are seeking a highly motivated individual to join our team. The IT/Data Auditor is responsible to supervise, to support, and to conduct independent, objective assurance and consulting activities related to Information Technology (IT) general and application controls.  These activities are designed to add value and improve an organization’s operations. Key to this position is the evaluation and testing of business process controls that rely on technology to ensure the organization and its data are secure from external or internal threats.  Audit projects must be conducted in accordance with The Institute of Internal Auditors’ Mandatory Guidance, Core Principles, Code of Ethics and the International Standards for the Professional Practice of Internal Auditing (Standards). This position is also responsible for:

  • Conduct IT and IT-related audit projects within credit union operations following the Institute of International Auditors Standards. Audit projects may include reviews related to software application management, system development, management of IT and enterprise architecture, system security and any other services that rely on the organization’s technological infrastructure.
  • Perform proper planning to ensure adequate risk assessment (including fraud risk considerations) to facilitate identification of controls for testing.
  • Evaluate and test IT general controls, application controls, and business process controls to support internal audit projects.
  • Evaluate and test adequacy of processes related to IT Governance, and Data Governance.
  • Utilize data to support the development of audit plans and the timely identification of risk through the continuous audit process.
  • Communicate effectively with stakeholders throughout the audit, which may include the planning, fieldwork, and reporting phases.
  • Build and maintain a good rapport with clients throughout the engagements.
  • Develop meaningful Audit Reports with management recommendations supported by proper root cause analysis in coordination with the Audit team.

The successful candidate will be a team-oriented, community minded individual with a Bachelor’s degree in Computer Science, Accounting, Finance, Mathematics, or equivalent or minimum 5 years’ financial institution experience related to Information Technology and/or Data Analytics.  A Certified Information System Auditor (CISA) designation would be considered an asset.  Along with proven skills and knowledge of Microsoft Suite and Analytics/Research, the candidate will have a continuing thirst for knowledge and be a life-long learner. Exceptional communication skills as well as a demonstrated commitment to excellence and member service are a necessity.

Other desired knowledge/skills/abilities include:

  • Information Technology experience
  • Database & SQL experience
  • The following, would be considered assets for the position:
    • Experience with ACL Data Analytics software
    • Experience in internal audit
    • GRC (Governance Risk and Compliance) tool experience
    • Financial services experience


Compensation will commensurate with qualifications and experience. Conexus, Cornerstone and Innovation Credit Union offers a comprehensive employee benefits package including a company matched pension plan. An attractive variable incentive program is also available.

Visit the CAREERS page or our website to learn more about this position and to apply.  www.innovationcu.ca  Only those applications received through our job board will be considered.

 

Internal Auditor

About Kootenay Risk Services

In June 2014, four Kootenay region credit unions formed the Kootenay Risk Services (“KRS”) support organization. The founding organizations include Columbia Valley, East Kootenay, Grand Forks and Nelson and District credit unions. The core purpose of KRS is to provide the owner credit unions with risk management and compliance resources.

Position Overview:

The Internal Auditor, under broad managerial direction, administers the credit unions’ internal audit program and conducts a variety of internal audits in all business units including deposit, lending, financial planning and insurance departments; acts as advisor to the senior management teams of the partnering credit unions in matters relating to internal audit, payroll, benefits, overall work organization, efficiency and cost containment; provides contract internal audit services to other entities; on a relief basis.

The Internal Auditor will work primarily from their home office with regular travel required to the partner credit unions within the Kootenay region of B.C.

EDUCATION AND EXPERIENCE

  • Completion of a two-year college or post secondary technical school diploma in business administration or operations management.
  • A recognized accounting (CPA, CMA, CGA) or auditing (CIA) designation
  • Minimum 5 years’ professional experience in an accounting or financial institution, with 3 years’ minimum experience being in an auditing role.
  • Demonstrated proficiency in computer applications including MS Office.
  • Demonstrated ability to work independently with highly confidential material.
  • Successful client-focused service delivery experience.

OTHER POSITION REQUIREMENTS

  • Valid driver’s license and vehicle transportation
  • Ability and willingness to travel within the Kootenay region of B.C.
  • Ability and willingness to maintain a home office

How to Apply

If you consider this position a match to your skills, please submit your resume in confidence.

We thank all applicants in advance for their interest. Only those under consideration will be contacted. The successful applicant will be required to undergo a bonding process that includes a criminal record check and credit check.

Please email your resume and cover letter to: employment@ekccu.com

Our employees make us who we are. Our ability to deliver outstanding member experiences, financial services, and a culture of accountability and integrity relies on the talent and drive of our team. We’re proud of our employees. In return for committing to not just the what, but the how, our full-time and part-time employees receive a competitive compensation package, full benefits, vacation time off, meaningful opportunities for learning and advancement, tuition assistance.

 

 

 

 

 

Audit Analyst

Conexus, Cornerstone and Innovation Credit Unions have built an integrated Internal Audit team.   Our credit unions are committed to helping our members reach their financial goals by reinvesting profits into our members, our communities and our people.  We are looking for someone who can act as a trusted advisor through the direct provision of all Internal Audit services, the provision of leadership, guidance, specialized expertise, and knowledge consistent with the strategies and priorities of the Internal Audit department and our credit unions as a whole.

THE POSITION: 

Reporting to the Internal Audit Lead/Manager, the CUs inSync partners of Conexus, Innovation and Cornerstone Credit Unions are seeking a highly motivated individual to join our team. The Audit Analyst will work with senior audit staff conducting risk-based audits which encompass all areas of credit union operations and follow the Institute of Internal Auditors Standards. This position is also responsible for:

  • Providing audit results and assisting in the development of reports to the appropriate audit lead
  • Identifying and assessing risks and opportunities within the credit unions’ and the members’ risk appetite
  • Identifying and assessing compliance with Credit Union Regulations
  • Leveraging technology and partners to provide and enhance the world class member experience
  • Living credit union values and competencies

Visit the CAREERS page or our website to learn more about this position and to apply.  www.innovationcu.ca  Only those applications received through our job board will be considered.

Chief Internal Auditor

About Affinity Credit Union

We’re a Saskatchewan-born, values-based, co-operative financial institution owned by our members, for our members. Our profits live in Saskatchewan (and so do we) and our advisors are part of the communities we serve and understand local needs.

We employ a professional workforce of about 800 and are 100% member-owned. By choosing to bank with Affinity, our members know that every dollar they deposit is reinvested and circulated back into our local communities through loans to other members. We put people before profit and as such work together to build a better world for everyone, every day. We have the largest branch network in Saskatchewan with 56 locations in 47 communities, manage $8.5 billion in assets and are the 10th largest credit union in Canada.

Our Commitment to Truth and Reconciliation

With locations disbursed throughout Saskatchewan, we acknowledge our workplaces are located on treaty territories, the traditional homeland of the Cree, Dene, Lakota, Nakota, Dakota, Saulteaux and the Métis Nation the stewards of this land for generations and acknowledge this land as providing for other Indigenous nations that moved through here as well.

Affinity’s Organizational Values

Open – Accepting, Fair, Flexible, Transparent

Honest – Accountable, Ethical, Honorable, Trustworthy

Inclusive – Collaborative, Cooperative, Respectful, Supportive

Committed – Engaged, Passionate, United, Willing

Diversity, Equity and Inclusion

As a values-based organization, Affinity is guided by the principles of diversity, equity and inclusion. These principles drive the decision-making process, creating opportunities to live our vision of building a better world. Diversity and inclusion are the cornerstone of the organizations culture.

We encourage and welcome all applications from Indigenous persons, racially visible persons, persons with a disability, women, and persons of a minority sexual orientation and/or gender identity, and all candidates who would contribute to the diversity of our organization.

For more information, please visit: www.affinitycu.ca

The Opportunity, Chief Internal Auditor

Reporting to the Audit and Finance Committee of the Board of Directors with an administrative reporting relationship through the CEO, the Chief Internal Auditor provides overall leadership and direction to the Internal Audit department, Affinity Credit Union, and its subsidiaries on Internal Audit related issues.

In this role, you’ll be responsible for leading the provision of independent and objective assurance and consulting activities to the credit union, its Board, the Audit and Finance Committee, and senior executives to assist the credit union in achieving its risk and operational objectives.

You’ll also lead the evaluation of the adequacy and effectiveness of controls encompassing the organization’s governance, risk management process, business operations, and information systems for the parent company and its subsidiaries.

This role is responsible for leading a team of two exceptional Internal Auditors.

Key Responsibilities

  • Provide leadership and direction for the development, maintenance and execution of a detailed internal audit (IA) plan, as approved by and regularly reviewed with the Audit & Finance Committee (AFCO).
  • Maintains independence from operations and management while consulting with management in the development of the IA plan and key audit findings.
  • Oversees IA policy and procedures and ensures IA direction is aligned with the strategic plan, Board/AFCO direction, regulatory requirements and accepted strong practice, including recommending areas of continuous development for the IA function.
  • Performs consulting and advisory services related to governance, risk management and controls as appropriate.
  • Evaluates the effectiveness of operations, and/or the reliability and integrity of the means used to identify, measure, classify and report financial and operational information.
  • Reports to AFCO and the CEO significant risk exposures and control issues, including fraud risks, governance issues, and other matters as requested by the Board and/or executive management.
  • Ensures key audit findings are addressed by management with regular follow-up reporting to AFCO.
  • Oversees assessment of the alignment between credit union strategic initiatives/directions and business operations and processes as reviewed within the board-approved audit plan.
  • Coaches on application of a risk lens in identifying issues and causes and providing recommendations to improve organizational effectiveness/efficiency.
  • Serves to advance the well-being of real people and their communities while deepening current member relationships and/or recruiting new members. Actively seeks to connect with current and potential members in our communities.
  • Maintains a collaborative, member-focused culture that is conducive to individual, team and organizational achievement, operational efficiency, accountability, and alignment

Key Qualifications:

Experience & Education

  • Post-secondary degree in a related field, complemented with 10 years of experience in increasingly senior roles
  • Advanced expertise as a Certified Internal Auditor (CIA) in leading internal audit and organizational controls; accounting designations (CPA) would benefit this role
  • Advanced knowledge of leading practices and innovative industry developments in internal audit
  • Advanced knowledge of regulated financial industry and operations
  • Demonstrated alignment with the values of Affinity

Leadership Competencies

Expert Advice – Provides new insights and feedback to key stakeholders to foster dialogue and make recommendations for continuous improvement. Integrates information relating to market dynamics, the financial industry, and member behaviour by utilizing area of expertise

Business Perspective – Adopts a long-term view of Affinity’s business strategy and sees the whole picture. Has a clear understanding of economic, social, cultural and demographic trends and their impact on the organization’s strategy and necessary oversight. Can adjust course as necessary.

Strategy Execution – Pulls together ideas, issues and observations through strategic insight in order to bring clarity to business leaders and facilitate decision-making.

Organizational Awareness & Relationship Management – Understands the organizational climate and understands what is and what is not possible, and how stakeholders will be impacted by decisions.

Collaboration – Desire and proven ability to make a significant impact through collaboration. Embraces collaboration as an operating style, encourages participation and fosters open dialogue. Utilizes a high degree of collaboration to make sound decisions, develop thinking beyond current boundaries and make innovative ideas practical.

Enabling Leadership – Works collaboratively with team members to achieve a common goal. Maintains and strengthens relationships with others, both inside and outside the organization. Both strategic and visionary, tactical and hands-on. A leader who develops, empowers and inspires people and grows their capacity as professionals.

Integrity and Trust – Possesses uncompromising integrity, honesty and unassailable business values and does not ethically cut corners. Treats people fairly and with dignity. Works hard to earn and maintain a high level of trust with the Board, CEO, executive team, and employees. 

Personal Accountability – Leads with humility and authenticity. Advocate of open, empathetic and respectful communication with both members and employees. Balanced, with a strong sense of ownership. Uses sound personal judgement to solve problems and make decisions.

Your pay

Our competitive compensation package includes an attractive base salary, incentive program, and excellent benefits. At Affinity, we focus on providing a Remarkable Employee Experience, a fulsome total rewards package, to support and motivate our employees in delivering a remarkable experience for our member. If required, relocation assistance to Saskatoon or Regina will be provided. Further details will be provided to candidates in the interview process.

We’d love to hear from you

Email a cover letter and tailored resume to Heather Sully at careers@affinitycu.ca indicating the job title in the subject line of the email.

www.affinitycu.ca

 

 

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