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JOB FUNCTION / SUMMARY:
Internal Control Analysts serve as part of a team of analysts responsible for managing the Sarbanes Oxley 404 (SOX) and reconciliation monitoring programs to assure that proper controls are established and tested.
ESSENTIAL DUTIES & RESPONSIBILITIES:
- Reviews a subset of monthly reconciliations, scores them, and works with preparers to correct deviations from policy.
- Completes the SOX program from walkthroughs, design assessments, operating effectiveness testing, and remediation to deficiency evaluation and final reporting for assigned processes.
- Performs administrative duties for the reconciliation program reporting to management and maintains the SharePoint site.
- Meets with process owners to obtain an understanding of assigned processes and documents the walkthrough.
- Completes and documents design assessments of assigned processes to identify financial reporting risks and controls that mitigate the risks.
- Performs tests of key controls within assigned processes and analyze results.
- Coordinates and leads efforts to remediate deficiencies (design, operating or documentation) identified during testing of assigned processes.
- Works with recon preparers and reviewers to ensure compliance with policy.
- Produces monthly reports to operating and executive management.
- Maintains the Recon Control SharePoint site.
- Assists in coordination of quarterly and annual SOX certification processes and reporting.
- Develops strong working relationships with internal management and internal and external audit.
- Incumbent is required to comply with all applicable federal, state, and local banking and industry related laws and regulations including but not limited to the Bank Secrecy Act.
SUPERVISORY RESPONSIBILITIES:
None
MINIMUM REQUIRED EDUCATION, EXPERIENCE & KNOWLEDGE:
- Bachelor's degree in Accounting or Finance; CPA or CPA candidate preferred
- 3 years in Accounting, Reporting, or Auditing role required - preferably within the financial services industry; 5+ years preferred
- Basic knowledge of GAAP
- Basic knowledge of internal control and account reconciliations
- Strong knowledge of Microsoft Office
- Basic understanding of the banking industry preferred
- Basic knowledge of Sarbanes-Oxley § 404 compliance preferred
ESSENTIAL MENTAL & PHYSICAL REQUIREMENTS:
- Ability to travel if required to perform the essential job functions
- Ability to work under stress and meet deadlines
- Ability to operate related equipment to perform the essential job functions
- Ability to read and interpret a document if required to perform the essential job functions
- Ability to lift/move/carry approximately 10 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department/division an "undue hardship" then the employee must be accommodated; hence omitting lifting/moving/carrying as a physical requirement.
Equal Opportunity/Affirmative Action Employers. All qualified applicants will receive consideration for employment without regard to race, color, religious beliefs, national origin, ancestry, citizenship, sex, gender, sexual orientation, gender identity, marital status, age, physical or mental disability or history of disability, genetic information, status as a protected veteran, disabled veteran, or other protected characteristics as required by federal, state and local laws.