Financial Controls Analyst – Business Process Automated Controls

Financial Controls Analyst – Business Process Automated Controls

Requirements

• 2+ years of Finance, Accounting, Analytics, Reporting or Business and Technology Audit experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Responsibilities

• Consult with IT, the line of business and/or enterprise functions on financial reporting, information technology governance, and controls and oversight matters
• Identify compliance and risk management requirements for supported line of business area
• Provide oversight for control testing and monitoring involving moderate to complex subject matter or control areas
• Communicate and provide consultation regularly with stakeholders throughout the enterprise
• Implement, operate, and report results of certain elements of the company’s policy, governance and oversight framework
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Perform the following for Business Process Automated Control testing: Perform walkthroughs of significant processes and ensuring required COSO documentation is accurate and reflects relevant risk and key controls, Validate and provide credible challenge to identified shared services, third-party service providers, and significant applications, Perform COSO control testing of key business process automated controls, including design effectiveness assessments and operating effectiveness testing, Validate and challenge documentation of control deficiencies, including issue description, root cause, unmitigated impact, and corrective actions, Analyze the severity of control deficiencies and their impact to internal control over financial reporting, Validate corrective actions and issues
• Build relationships and collaborate with key stakeholders in the SEC and Regulatory Reporting internal control infrastructures
• Assist with projects impacting the team, including identification of risks and consulting on controls for newly implemented processes and applications

Preferred Qualifications

• Experience assessing and documenting financial and/or regulatory risks and controls
• Internal controls testing experience including business process manual controls, automated controls, and/or IT General Controls (ITGC)
• Experience identifying business process automated controls and developing and executing test plans for business process automated controls, including segregation of duties, configurations, and interfaces
• Experience partnering with financial and IT audit teams on integrated audits
• Experience with large professional services firms
• Experience with large financial institutions
• A BS/BA degree or higher in one or a combination of the following: Finance, Accounting, Analytics, Reporting, or Information Technology
• Excellent verbal, written, and interpersonal communication skills
• Ability to present results of analyses and recommendations
• Intermediate Microsoft Office skills
• One or more of the following certifications: CPA, CIA, CISA
• Knowledge and understanding of regulatory agencies: Federal Reserve and OCC