Risk And Controls Manager

Overview

• Lead the development and enhancement of financial controls in a dynamic wealth management environment, ensuring compliance with SOX/ICFR standards.
• Collaborate with cross-functional teams to assess risk, implement controls, and drive continuous improvement in financial reporting processes.
• Provide expertise in risk assessment, control remediation strategies, and regulatory compliance to support organizational transformation initiatives.
• Document and maintain comprehensive narratives, flowcharts, and matrices for financial controls and risk management frameworks.
• Partner with auditors to facilitate testing cycles, ensuring adherence to regulatory requirements and industry standards.
• Educate stakeholders on control requirements, promoting best practices and fostering a culture of accountability.
• Contribute to strategic initiatives, including M&A integrations and system implementations, to enhance operational efficiency.
• Support the organization in achieving its financial and operational goals through effective risk management and controls.

Key Responsibilities & Duties

• Design and implement robust financial controls across business-as-usual and change initiatives, ensuring compliance with SOX/ICFR standards.
• Evaluate control environments, identify gaps, and recommend improvements to strengthen financial reporting processes.
• Lead walkthroughs and perform control testing activities, ensuring effective risk mitigation strategies are in place.
• Collaborate with internal and external auditors to facilitate compliance testing and address findings effectively.
• Provide advisory support for transformation projects, including M&A integrations and system implementations.
• Maintain detailed documentation of controls, risk assessments, and remediation plans to ensure transparency and accountability.
• Report findings and recommendations to senior stakeholders, driving informed decision-making and strategic planning.
• Act as a liaison between Finance, Technology, and Operations teams to ensure alignment on control objectives.

Job Requirements

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