Manager, IT Internal Controls Compliance

  • Full Time
  • Toronto

CI Financial

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so. 

Reporting to the Director, Internal Audit and Controls, we are currently seeking a Manager, IT Internal Controls Compliance to enhance the overall control environment at CI Financial through the development and testing of Internal Controls over Financial Reporting and the Board approved internal audit plan.


  • Plan, coordinate and execute all phases of IT NI 52-109 compliance.
  • Liaise with the Business IA Internal Controls team and update the IT scoping and risk assessment.
  • Perform IT documentation, including risk and controls matrices and process flowcharts, and evaluate controls as new systems are developed or processes change.
  • Ensure that IT controls are properly designed for all in-scope processes and global entities.
  • Perform IT Application Controls and documentation of results of testing.
  • Perform IT General Controls testing including design & operating effectiveness testing, remediation test work, and roll-forward testing.
  • Ability to review code and test scripts in order to test system reports and calculations.
  • Provide technical guidance and advice to control owners for remediation of IT-related internal control gaps.
  • Ensure any IT-related internal control gaps are remediated and re-tested by year-end.
  • Track and monitor overall IT General Controls assessment status for monthly and quarterly reporting to senior management. Ensure all IT General Controls deliverables and deadlines are met.
  • Continuously evaluate current set of in scope controls and recommend ways to rationalize and optimize controls through automation 
  • Consult on new business initiatives, system implementations, accounting policy changes, personnel changes and acquisitions and assess the impact of the changes on internal controls. 
  • Assist in the coordination and receipt of SOC1 and SOC2 reports from third party providers; completed SOC report assessments; and work with management to identify and document controls necessary to rely upon such reports.
  • Liaise with Internal and External Audit and proactively coordinate the audits to ensure coordination of the PBC request process to minimize the impact on the business and align test result.
  • Support the preparation of material, presentations, and other documentation as required for periodic management and Audit Committee meetings.
  • Coordinate with internal and external auditors on the annual ICFR testing plan.
  • Provide internal controls training to control owners.
  • Perform limited assurance internal controls testing at non-SOX entities.

  • Good understanding of risks and controls for both Business Processes and Information Technology.
  • Detail-oriented and able to work well under pressure and accustomed to project work with tight deadlines.
  • Creative, self-starter, quick thinker and dedicated individual who is eager to put his/her stamp on this job role.
  • CISA, CISM, CIA and or relative certification is required.
  • 5+ years experience in Public accounting or internal audit background with a strong focus on NI 52-109/SOX ITGC’s.
  • Solid understanding of ICFR/SOX and internal control concepts (e.g., COSO, COBIT, ITIL, ISO 27001).
  • Proven ability to lead audits and manage audit teams.
  • Experience at a financial services firm an asset
  • Hybrid work arrangement
  • Overtime may be required to meet deadlines
  • Knowledge, Skills, and Abilities

  • Strong written and interpersonal skills.
  • Knowledge of internal auditing standards, procedures, techniques and internal controls.
  • Knowledge of asset/wealth management and financial services an asset.
  • Knowledge of the COSO Internal Controls Framework
  • CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice. Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI. 


  • Modern HQ location within walking distance from Union Station

  • Flexible & Hybrid Work Program

  • Equipment Purchase Program

  • Training Reimbursement

  • Paid Professional Designations

  • Employee Share Purchase Program (ESPP)

  • Corporate Discount Program

  • Enhanced group benefits

  • Parental Leave Top–up program

  • Fitness membership discounts

  • Volunteer paid Days

  • Complimentary vending machines

  • We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.


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