Associate/Senior Associate Internal Controls

Overview

• Lead internal controls initiatives within a dynamic, regulated financial services environment, ensuring compliance and operational excellence.
• Collaborate across departments including Finance, IT, Compliance, and Operations to strengthen control frameworks.
• Drive SOX compliance efforts, managing audit processes and preparing comprehensive documentation.
• Identify and address control gaps, recommending improvements to enhance efficiency and compliance.
• Maintain and update risk matrices, process narratives, and flowcharts for key business processes.
• Evaluate risks related to financial reporting and IT general controls, ensuring robust mitigation strategies.
• Monitor industry trends and regulatory updates to adapt internal control practices effectively.
• Contribute to a culture of continuous improvement and operational excellence within the organization.

Key Responsibilities & Duties

• Facilitate SOX audit processes, including walkthroughs, evidence preparation, and timely responses to inquiries.
• Collaborate with auditors and internal teams to ensure accurate and compliant financial reporting.
• Manage audit timelines, track open items, and report on remediation progress effectively.
• Maintain comprehensive documentation for internal controls, including narratives and risk matrices.
• Evaluate the design and effectiveness of key controls, coordinating testing programs.
• Identify and address control deficiencies, proposing actionable improvements.
• Monitor control environment assessments and adapt practices to align with industry standards.
• Support cross-functional teams in implementing robust internal control measures.

Job Requirements

• Bachelor's degree in Accounting, Finance, or related field preferred.
• 2-5 years of experience in internal controls, SOX compliance, or public accounting.
• Solid understanding of ICFR, SOX, and control testing methodologies.
• Knowledge of ITGC domains such as access management and change management.
• Experience in financial services, asset management, or regulated environments.
• Strong analytical skills to evaluate risks and recommend effective controls.
• Excellent communication and collaboration abilities for cross-functional teamwork.
• Detail-oriented with strong organizational and documentation skills.