Corporate Treasury - Oversight & Control - Finance Quality Assurance - Associate
Compensation: $153,865.00 - $153,865.00 /year *
Employment Type: Full-Time
Industry: Financial Services - Banking/Investment/Finance
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The CIO Treasury and Corporate (CTC) Oversight & Control group is responsible for several control initiatives and works closely with many areas (i.e. Finance, Risk, Operations, Technology and Business Managers) across CTC.
The group is involved with control initiatives that include, but are not limited to the following:
Risk and Controls Self-Assessment (RCSA) Program
Sarbanes-Oxley (SOX) Control Program
Quality Assurance Program
Specific Roles & Responsibilities The Quality Assurance Team is responsible for assessing and addressing regulatory and external reporting risks, including validation and enhancement of reporting data integrity.
The candidates must be experienced professionals who possess strong auditing and accounting skills, good knowledge of the banking business, financial instruments and products, and a strong understanding of internal control systems within a financial institution.
The candidate will be responsible for the following:
Performing testing and evaluation of reported balances and other information (based on transaction nature and underlying client/contractual information)
Concluding and reporting on noted errors, and recommendations developed, with appropriate action plans and owners
Performing audit-type testing across CTC functions and processes (to be determined & defined)
Performing detailed risk and control assessments across CTC functions and processes
Ensuring appropriate closure of action plans developed in response to previous reported findings
Establishing and maintaining strong working relationships across CTC businesses and other control groups (i.e., finance, risk management, compliance, legal, etc.)
Working closely with regional and / or global business and information technology colleagues across CTC as issues emerge and reporting them timely to management and other stakeholders
Staying current with evolving industry and regulatory changes, and analyze impact to business objectives, processes, and compliance
Broader Department Roles and Responsibilities:
Internal Control Initiatives including the quarterly management representation letter process and checklist
Interaction with other CTC Finance Control Programs
Sarbanes Oxley (SOX) compliance and control program
Annual planning and review to determine scope and coverage of annual program.
Risk Assessment review by 10K financial statement line item for both quantitative and qualitative risk factors
Reporting, oversight and supervisory review of transactional testing of business controls
Ensuring appropriate documentation exists for:
procedure / flows for key business controls that impact SOX testing
summary memos for deficiencies identified and issue aggregation memos
year end memos and program rational documentation
Quarterly review/analysis of Business & IT controls issues identified by Audit, RCSA and management testing
PwC and Internal Audit liaison
4+ years experience in Auditing, Accounting, Internal Control and/or Finance
BS in Accounting or Finance
Experience auditing/reviewing SOX, RCSA, QA and/or internal controls
Able to present to senior leaders and mentor junior staff
CPA and/or an MBA is preferred
Analytical skills and attention to detail
Working knowledge of Microsoft Office applications
Ability to work in an evolving environment, manage multiple projects and support a growing business
Associated topics: automation, prevent, qa, quality assurance analyst, quality assurance lead, software quality assurance, software quality engineer, software quality assurance engineer, test engineer, tester
* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.
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