Senior Associate, Financial Controls - SLC Management
Core
Manage the coordination and oversight of the ICFR SOX program, support internal and external audits, and lead annual service provider control report audits for an asset management firm.
Role type
Senior Associate, Financial Controls
Builds
Robust internal control environments and audit compliance frameworks
Domain
Financial Services / Asset Management
Required skills
Internal audit, External audit, Enterprise Risk Management, Control development, Financial reporting, Project management, Process improvement, Risk assessment, Stakeholder management, Microsoft Office proficiency
Preferred skills
Artificial intelligence integration, IFRS audit coordination, NAIC audit coordination, Relationship building
Technologies
Microsoft Excel, Microsoft PowerPoint, Microsoft Word, Microsoft Visio, Microsoft Outlook
Responsibilities
Manage the coordination and oversight of the ICFR SOX program, including developing a strong understanding of control requirements, providing guidance on expectations and deliverables, and assisting with the ongoing maintenance of SOX documentation; Support key aspects of internal & external audits, including adherence to Client Assistance Schedules, and facilitate resolution between auditors' request and business demands; Lead annual service provider control report audits (SOC1/CSAE 3416 reports); Provide advice and guidance to asset classes, including recommendations to senior management regarding control matters, ensuring outcomes are within division risk appetite limits; Provide oversight on identified control issues and support proposed actions and timelines to be taken to mitigate and resolve; Develop processes and practices to support the evaluation of the current risk (control) environment, and the identification of emerging risks; Support the preparation of the control dashboard designed to provide senior management with a holistic view of issues, emerging risks and status updates; Participate in the quarterly financial reporting close process activities.
Seniority
Senior, hands-on IC
