Technology Audit and Exams Specialist

About the role

This role is heavily focused on management of Technology & Operations (T&O) audits and regulatory exams. It involves collaborating with all three lines of defense across T&O (Enterprise/Canada, U.S., and International jurisdictions) to provide support and guidance to internal, external audits and exams.

Responsibilities

• Leading pre-readiness/debrief sessions, performing deep dive reviews, and providing ongoing constructive feedback/challenge regarding materials/documents to be submitted to auditors and regulators.
• Managing audit and exam calendars, providing centralized executive and governance level insights reporting.
• Participating in knowledge sharing exercises, and aligning interaction activities with testing and readiness assessments.
• Assisting the Audit & Regulatory Interactions (ARI) team and broader corporate risk functions in executing a defined interaction model related to T&O audits, exams, remediation, and retest activities.
• Overseeing and reviewing pre-audit and pre-exam activities such as the coordination of documentation, completion of information asks, and coordination of audit and exam preparation meetings.
• Facilitating gathering of regulatory and audit deliverables.
• Leading internal efforts, including recommendations and follow-ups to compile required documentation to support examiner and audit meetings.
• Providing ongoing updates/status of exams and audits to the ARI Director, supporting Technology and other key stakeholders.
• Facilitating meetings with auditees and assisting in data analytics and reviewing draft management responses for regulatory and audit findings, as necessary.
• Reviewing results of audits and exams, tracking any noted themes and trends that can be applied across T&O.
• Preparing and providing updates, as required, to applicable reporting that feeds into steering committees, Corporate Audit, external auditors, regulators, Corporate Support Areas, and risk management committees/forums.
• Establishing a culture of understanding the purpose behind regulatory and audit directed decisions and expectations.
• Looking for process enhancements/streamlining opportunities both internally to ARI and across the audit and exam lifecycle in support of our 1A partners.
• Serving as first-level support to the Technology 1A teams as it relates to audit and regulatory engagements.
• Assisting on supplemental projects and activities as needed (e.g., creation of internal audit and exam playbooks and templates).

Requirements

Requires a university degree/college diploma in related discipline(s) or equivalent work experience, and/or 5-7 years experience in Regulatory Compliance, Audit, and/or Risk Management. Experience leading or assisting with audits, assisting with audit remediation activities, solid knowledge of BMO and the banking industry’s risk types, solid knowledge of BMO’s policies and procedures in relation to internal controls, risk, and compliance, solid understanding of BMO’s legal and managerial organizational structure and regulatory implications, and proficient knowledge and experience with Microsoft Office, including Outlook, Word, PowerPoint, Excel, Teams, Co-Pilot Chat, and maintenance of Spotfire reporting.

Skills

• Advanced written and verbal communication skills.
• Advanced decision and risk analysis skills.
• Attention to detail and critical thinking skills.
• Solid relationship management and leadership skills.
• Ability to influence and create a sense of urgency as required.
• Highly developed meeting facilitation, presentation, and negotiation skills.
• Team player who is self-motivated and goal-oriented.
• Ability to develop, implement, and manage change.

Benefits

N/A

Pay

$74,000.00 - $138,000.00