Investment Specialist responsible for processing investment transactions at Canada Life, ensuring accuracy and compliance with service level agreements. Engages with advisors for required information and utilizes internal systems effectively.
About the role
- Support the development of audits aligned to Barclays standards in investment banking. Collaborate with stakeholders on risk assessment and internal control effectiveness.
Responsibilities
- Support the development of audits aligned to the bank’s standards and objectives
- Provide accurate information and recommendations, and comply with policies and procedures
- Identify operational risks to support the delivery of the Barclays Internal Audit (BIA) Audit Plan through risk assessments
- Assess internal control effectiveness and their capability to identify and mitigate risk aligned to regulatory requirements
- Communicate key findings and recommendations to stakeholders, including the Audit Owner, senior managers, and directors
- Identify regulatory news and industry trends/developments to provide timely insight and recommendations for best practice
- Contribute or set strategy, drive requirements, and make recommendations for change
- Plan resources, budgets, and policies; manage and maintain policies/processes; deliver continuous improvements and escalate breaches of policies/procedures
- Define jobs and responsibilities if managing a team, planning for the department’s future needs and operations, and counselling employees on performance
- Advise key stakeholders on functional and cross-functional areas of impact and alignment
- Manage and mitigate risks through assessment, in support of the control and governance agenda
- Create solutions based on sophisticated analytical thought
Requirements
- Experience in audit, finance, or investment banking with the ability to review and write audit-related reports
- Experience planning and supporting audits across multi-faceted business areas
- Experience leading teams and discussions with stakeholders
- Confirmed written and verbal communication skills with a collaborative approach to stakeholder engagement
- Prior experience mentoring or developing junior staff
- Previous auditing or financial services experience
- Knowledge of financial systems or exposure to larger financial organizations
- Relevant professional qualifications such as CPA, CFA, or CISA
- Experience with data analytics, coding, or machine learning techniques similar to Python or SQL
- Knowledge of emerging financial products and services
- Experience in engagement with regulators and an understanding of the regulatory environment
- Audit experience in mid-to-large organizations or financial services familiarity through non-audit roles
- Preferred knowledge of investment banking products
Benefits
- medical coverage
- dental coverage
- vision coverage
- 401(k)
- life insurance
- paid leave for qualifying circumstances
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