•Understand and evaluate the assigned function’s control environment, with proven experience assessing the adequacy, effectiveness, and design of controls to ensure alignment with SOX, other regulatory frameworks, and the firm’s risk priorities.
•Execute testing processes with precision and accountability to assess the control environment, identify gaps, and prepare robust documentation including process documents, process flows, and overview documents that support testing conclusions.
•Collaborate with process and control owners and cross-functional teams on the testing schedule; obtain walkthroughs of processes; document process changes; gather evidence; analyze potential issues; and facilitate timely reporting.
•Partner with control owners to support issue validation, action plan quality, and closure discipline, ensuring remediation aligns with risk acceptance and compliance expectations.
•Lead walkthroughs and other meetings with business owners, fostering collaboration across engagements with minimal oversight.
•Read and interpret policies, standards, and procedures to support accurate implementation of compliance requirements, and continuously improve control evaluation methodologies, including interpretation of control ratings and metrics.
•Propose and implement improvements to current testing methods, contributing to the efficiency and effectiveness of risk management.
Required qualifications, capabilities, and skills:
•Bachelor’s degree in business, finance, or a related field, or equivalent work experience; minimum of 2 years of experience in controls testing, audit, or operational risk management within a risk and control environment.
•Domain knowledge of banking products and the ability to interpret financial statements; experience across one or more of the following: product control, balance sheet substantiation, month-end close processes (journal entries, accruals, financial close procedures), treasury (liquidity management, capital management, Basel capital, securities operations, front and middle office operations, asset liability management), reconciliation processes (account reconciliation, position matching, break resolution), valuation controls (independent price verification, fair value adjustments), regulatory reporting, financial reporting (daily financial reporting, external disclosures, off-balance-sheet review), and control testing (SOX testing, risk assessments, key control reviews, issue identification, remediation tracking).
•Demonstrated proficiency in advanced analytical thinking and problem-solving, including analyzing large data sets to identify exceptions or patterns and evaluating key information.
•Proven ability to build strong partnerships with key stakeholders and collaborate with business and functional experts to recognize risks and gaps.
•Excellent organizational and time management skills, with the ability to remain flexible and productive through shifting priorities and deadlines.
•Excellent written and verbal communication skills, with the ability to influence business leaders in a meaningful and actionable manner.
•Demonstrated expertise in Microsoft Office applications, with advanced skills in Excel, Word, and PowerPoint.
