Business Unit Overview:

The Financial Controls Reporting (FCR) team manages the Sarbanes-Oxley §404 process for the company. 404 of the Sarbanes-Oxley Act requires management to state their responsibility for establishing and maintaining an adequate internal control structure and procedures for financial reporting and to conduct assessments of the effectiveness of the internal controls (including fraud risk controls) and financial reporting procedures. In addition, FCR supports Finance with the risk management of key projects and strategic initiatives.  FCR coordinates with other risk and control functions across the Firm to provide effective enterprise wide risk management.

Job Purpose/Background:

The FCR Associate will help deliver the SOX compliance program.  This will include assisting with evaluating, testing and reviewing internal controls over financial reporting.

In this role, the individual will provide an organized and effective approach to documenting and testing controls with the business to support the SOX compliance process. This individual will actively work with the control owners in Finance and other business units and coordinate with various control disciplines (e.g. service organization reporting, internal audit, operational risk management).  On a regular basis, this individual will help to provide status updates and keep abreast of SOX related emerging topics. A successful candidate in this role will develop a deep understanding of core financial processes as well as developing a broad understanding of the products and services offered by the Firm.

Key Responsibilities:

  • Provide advice to the business throughout the SOX process to continually enhance internal controls and create an efficient and effective SOX compliance process
  • Understand external audit requirements to provide appropriate internal control and management testing documentation that meets external auditor needs
  • Demonstrate knowledge of application of accounting principles and related impact on internal controls over financial reporting
  • Support the implementation of a coordinated SOX approach through the use of an automated GRC tool (Archer)
  • Assist in developing and monitoring  project plans to projected timelines
  • Document and evaluate control deficiencies and work with management to ensure that appropriate remediation steps are taken
  • Perform management testing of key controls
  • Prepare status reporting and decks for the Steering Group and other key governance committees
  • Demonstrate knowledge of key guidance [The Committee of Sponsoring Organizations of the Treadway Commission (“COSO 2013 Framework”) and other PCAOB and SEC requirements] supporting the FCR process
  • Communicate effectively both internally and externally to build positive relationships across the business, control functions and with external audit
  • Coordination and collaboration with other risk and control functions (Operational Risk, Internal Audit, and Technology Risk Management)
  • Effective articulation of risk issues to a variety of stakeholders
  • Work with process owners to advise/implement improvements to ensure compliance and continuously improve the company’s internal controls over financial reporting
  • Evaluate key risks in financial processes and propose changes in control design to address risks efficiently

Development Value:

This is a hands–on role, providing a breadth of experience within a complex and challenging environment.  The role offers an excellent opportunity to gain a good understanding of the company’s business processes and key applications.  The role will provide exposure to core financial processes, and the opportunity to develop a deep understanding of the company’s products while working on a team oriented collaborative environment.

Experience and skill sets:

  • Bachelor’s degree or higher required
  • 4 – 6 years of prior work experience preferred
  • Professional qualification preferred (e.g. CA, CPA, CIA, CISA or equivalent credential), or in-progress
  • Comprehensive knowledge of US GAAP, Sarbanes-Oxley and COSO 2013
  • Understanding of technology controls a plus
  • Strong project management, organizational and interpersonal skills
  • Results driven individual with strong problem solving skills and attention to detail
  • Self-motivated: able to show initiative and come up with ideas without prompting
  • Strong presentation skills – able to present competently to stakeholders of all levels
  • Ability to develop innovative solutions to enhance processes and address control gaps
  • Possess a strong internal drive and motivation for continuous improvement
  • Possess a high degree of integrity and professional scepticism
  • Ability to manage multiple priorities successfully within a deadline-driven environment
  • Ability to communicate effectively and work with cross functional teams regionally and globally
  • Experience conducting risk and controls reviews and assess the effectiveness of internal controls over key business and technology related risks
  • Preferably experience gained in a “Big 4” environment or complex corporate organization, conducting risk and controls reviews within Financial Services (preferably within the asset management sector)

Please feel to email resumes to Jack Kelly at Jack@ComplianceSearch.com

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