The Supervisor – Financial Controls will assist in the planning, execution and delivery on financial internal control test work in compliance with Sarbanes Oxley Act and FDICIA requirements (together “ICOFR”). The individual will evaluate the design and operational effectiveness of processes and internal controls for adherence to ICOFR requirements. The position will assist identifying root causes of identified issues to strengthen and/or improve controls. This position is responsible for overseeing and reviewing Senior and staff level work, including reporting of the results of audits, projects and special assignments.
- Performs work under the direction of the Associate Director – Financial Controls which can include individual or multiple audit assignments and/or projects;
- Participates with and/or supervise less experienced auditors on assigned audits;
- Documents the ICOFR process throughout the Company by managing the comprehensive risk and control matrices/audit programs for assigned process areas;
- Maintain audit software (Workiva) to provide a well-documented and organized audit program and audit work papers;
- Coaches, trains, and develops auditing staff to upgrade their knowledge. Reviews staff’s work to ensure compliance with stated requirements and objectives and PCAOB standards;
- Develops, presents and assists in finalizing noted ICOFR deficiencies; identifying risk based issues and mitigation strategies;
- Establishes & maintains relationships with the Company’s staff and management as well as external auditors through periodic and effective communication to facilitate proactive assessment of the Company’s risk profile.
- Strong organizational, communication and interpersonal skills in order to work with all levels of management are required;
- Must be effective at communicating issues through written reports, verbal discussions and presentations;
- A self-motivated, results-oriented professional with experience and success working in a collaborative environment;
- Ability to deal with complex problems involving multiple facets and variables in non-standardized situations. Ability to define problems, collect data, establish facts, and draw valid conclusions;
- Exceptional organizational and time management skills;
- Undergraduate degree in Accounting, Finance, or Business Administration or other relevant field required. A graduate degree is a plus but not required;
- Minimum five+ (5+) years of audit experience in the financial services industry and/or public accounting required;
- Two or more years of supervisory experience, direct or indirect;
- Prior experience focusing on testing ICOFR processes;
- Professional certification of Certified Internal Auditor (CIA) or Certified Public Accounting (CPA);
- Detail-oriented and proficient in Microsoft Office applications;
- Working knowledge of internal control analyses and risk assessment methodologies, COSO framework, Institute of Internal Auditor (IIA) standards, FRB Supervisory Letter 13-11 standards, generally accepted accounting principles, and/or Sarbanes-Oxley Section 302/402 requirements;
- Ability to travel up to 30%.