Risk And Controls Manager

Overview

• Lead the development and implementation of financial controls within a dynamic wealth management environment.
• Collaborate with cross-functional teams to ensure compliance with SOX/ICFR standards.
• Provide expertise in financial reporting, risk assessment, and control remediation strategies.
• Support transformation initiatives, including M&A integrations and system implementations.
• Document and maintain comprehensive controls narratives, flowcharts, and matrices.
• Collaborate with auditors to facilitate testing cycles and ensure regulatory compliance.
• Educate stakeholders on control requirements and promote best practices.
• Contribute to a culture of accountability and continuous improvement in financial controls.

Key Responsibilities & Duties

• Design and implement financial controls across BAU and Change initiatives.
• Evaluate control environments, identify gaps, and recommend improvements.
• Lead walkthroughs and perform control testing activities.
• Collaborate with internal and external auditors for compliance testing.
• Provide advisory support for transformation projects and M&A integrations.
• Maintain detailed documentation of controls and risk assessments.
• Report findings and recommendations to senior stakeholders.
• Act as a liaison between Finance, Technology, and Operations teams.

Job Requirements

• Bachelor’s degree in Accounting, Finance, or related field; CPA or CIA preferred.
• 7–10 years of experience in SOX/ICFR compliance and financial controls.
• Proficiency in data analysis tools such as Excel, SQL, and Power BI.
• Familiarity with ERP systems like Workday, Oracle, or SAP.
• Experience in M&A environments and integrating controls across entities.
• Strong knowledge of SOX 404, ICFR, COSO framework, and financial reporting standards.
• Excellent communication and stakeholder management skills.
• Ability to work independently and collaboratively in a fast-paced environment.