Summary
Overview
Work History
Education
Skills
Affiliations
Certification
Languages
Timeline
Generic

Juli Jiang

Burlington,ON

Summary

Dynamic Senior Manager with extensive experience in internal audit, regulatory compliance, and enterprise risk management. Proven track record in planning and executing audit and advisory projects, developing ERM framework and leading quality assessments. Skilled in project management and fostering team growth, driving impactful results in risk management and compliance enhancements across the banking sector.

Overview

14
14
years of professional experience
1
1
Certification

Work History

Senior Manager, Internal Audit and Financial Advisory

Protiviti
Toronto, Canada
02.2022 - Current
  • Lead complex internal audit and risk advisory projects including Leverage and Liquidity Risk, Senior Management Reporting, Regulatory Compliance Management, and AML & Sanctions across the Banking industry and Pension Plans.
  • Developed an Enterprise Risk Management (ERM) framework for a Canadian Pension Fund, including identifying the risk universe, developing ERM policy document and drafting risk appetite statements.
  • Led an external quality assessment of internal audit department (QAIP) for a leading North American investment manager, ensuring adherence to IIA standards and industry best practices.
  • Managed and mentored four employees, fostering a culture of continuous learning and knowledge exchange.
  • Advised senior leadership on emerging risks, audit trends, and regulatory updates.

Senior Compliance Officer, Enterprise-Wide Compliance

CIBC
Toronto, Canada
06.2021 - 02.2022
  • Provided advisory on regulatory compliance management (RCM) matters including regulatory group topics, risk and control self-assessment, deficiency management, change initiative risk assessment.
  • Reviewed and revised Compliance Policy and Procedure documents to be aligned with organizational needs and regulatory changes.
  • Conducted training sessions and provide advisory support on RCM frameworks and compliance risk assessment methodology.
  • Led key compliance reporting initiatives within RCM team, including incorporating impactful metrics and enhancing oversight.

Audit Manager, Wealth Management

CIBC
Toronto, Canada
05.2018 - 06.2021
  • Led complex audit projects including the first agile audit in performing risk assessments, developing audit plan, managing fieldwork, and audit reporting; successfully reduced the project duration by 10%.
  • Advised Senior Management on control environment enhancements, mitigating fraud risk, regulatory compliance risk (NI 81-102, NI 31-103, etc.), and information security risk etc.
  • Conducted comprehensive reviews on processes including portfolio management and asset allocation, trading, account opening, suitability, and investment policy statement (IPS).

Audit Manager, Compliance and Administration

CIBC
Toronto, Canada
11.2016 - 05.2018
  • Managed high-impact audits covering compliance, payroll, and AML governance.
  • Provided strategic recommendations to strengthen compliance frameworks and risk management processes.

Auditor, Audit and Assurance Department

Ernst & Young
Suzhou, China
09.2011 - 09.2013
  • Key team member in a $15B IPO audit engagement, performing financial statement audits IFRS and US GAAP.

Education

Master of Business Administration -

Schulich School of Business
06.2016

Skills

  • Internal audit
  • Regulatory compliance
  • Enterprise risk management
  • Quality assessment
  • Project management
  • Process improvement

Affiliations

  • Board of Directors – Treasurer, TSCC. 3048 Condo Corporation, Overseeing financial management, budgeting, and governance
  • IIA Toronto Chapter - Symposium Committee member, Active volunteer in professional audit community

Certification

  • Chartered Professional Accountant (CPA)

Languages

English
Native/ Bilingual
Chinese (Mandarin)
Native/ Bilingual

Timeline

Senior Manager, Internal Audit and Financial Advisory

Protiviti
02.2022 - Current

Senior Compliance Officer, Enterprise-Wide Compliance

CIBC
06.2021 - 02.2022

Audit Manager, Wealth Management

CIBC
05.2018 - 06.2021

Audit Manager, Compliance and Administration

CIBC
11.2016 - 05.2018

Auditor, Audit and Assurance Department

Ernst & Young
09.2011 - 09.2013

Master of Business Administration -

Schulich School of Business

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Juli Jiang