Senior Associate, Financial Controls - SLC Management
Core
Manage the coordination and oversight of the ICFR SOX program, support internal and external audits, and provide expert advice to senior management on internal controls strategies 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 controls strategy, SOX compliance, audit coordination, risk assessment, process development, stakeholder management, project management, Microsoft Office proficiency
Preferred skills
Artificial intelligence integration, cross-organizational relationship building
Technologies
Microsoft Excel, PowerPoint, Word, Visio, 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; Working closely with key stakeholders (such as finance, operations, or corporate teams), to proactively identify changes to processes that should be assessed from a controls perspective to support the maintenance of a robust controls environment; Support the preparation of the control dashboard designed to provide senior management with a holistic view of issues, emerging risks and status updates; Support and initiate the use of artificial intelligence in processes to streamline and create efficiencies; Participate in the quarterly financial reporting close process activities; Participate in various committee and business meetings, as required
Seniority
Senior, hands-on IC
