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Company Contact Info
- New York, NY
- Tony Yosco
- Phone: 551 777 4991
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Internal Controls SOX Auditor (4+ Month Contract)
Career Developers, Inc. • New York, NY
Posted 16 days ago
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Sr. Internal Control Analyst (4-6 month contract)
Location: Manhattan, NY
MUST HAVE A STRONG SOX COMPLIANCE/AUDIT BACKGROUND.
Group/Division: Risk Management/Compliance
Education— Bachelors Degree in Accounting, 4 – 6 years auditing experience, CPA a plus but not necessarily required.
- General accounting and internal auditing skills;
- Ability to identify and test the design and operating effectiveness of SOX 404 ICFR, ITGC, and ELC;
- Ability to execute SOX 404 test plans against financial statement assertions;
- Ability to evaluate and test operational controls;
- Ability to investigate and evaluate Compliance, Regulatory and Operational risk issues;
- Ability to run database applications and compliance/operational risk models;
- PC skills including Microsoft Office, Microsoft Project, Visio, and Access.
- Experience working in Internal Audit, Risk Management (Operational Risk) or Compliance areas.
- Working knowledge of internal control methodologies (including testing), FASB pronouncements banking regulations, (e.g. the FHLBank Act, FHFB regulations, Sarbanes Oxley, the Patriot Act, BSA, Operational Risk Management and others as required).
- Reports to the Director of Compliance
SOX 404 Key Control Testing; operational control testing; and operational incident investigation and assessment.
- Test SOX 404 Key controls regarding the adequacy of coverage for the top five processes that cover upwards of 90% of the balance sheet including advances, funding, derivatives, investments, and financial reporting.
- Test SOX key controls regarding the adequacy of coverage for the bottom 10% of the balance sheet and income statement.
- Assist in the design key control test plans that address financial statement assertions including existence and occurrence, completeness, valuation and allocation rights and obligations and presentation and disclosure.
- Investigate and assess operational incidents as assigned and track and test remediation as required.
- Collaborate and assist the Operational Risk Department in performing operational risk assessments related to new products and developing process flows in accordance with the 2013 COSO integrated control methodologies.
- Ensure the Bank's internal and system-wide operational loss data bases are up to date with complete and accurate information.
- Assist in the preparation of the Annual Compliance Risk Assessment, the Annual AML Risk Assessment and the Annual Review and Conformance Report.
- Keep abreast of and track regulatory issues as they arise and track and provide status reports as required.
- Assist in the coordination of live or web-based bank-wide compliance training programs.
- Attend compliance and operational risk -related industry functions in order to keep abreast of industry best practices.
- Plan, implement and manage projects as assigned by the Director of Compliance and analyze results whenever appropriate.
- Liaise with the Operational Risk Group and provide assistance as needed with issues including the Annual Risk Assessment, KRIs and KPIs.
Bank officers, managers and supervisors, the Operational Risk and Financial Accounting, and the Internal Audit Departments.