Financial Controls Resume Samples
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Financial Controls Resume Samples
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ZR
Z Ritchie
Zena
Ritchie
288 Willms Meadow
New York
NY
+1 (555) 498 4441
288 Willms Meadow
New York
NY
Phone
p
+1 (555) 498 4441
Experience
Experience
San Francisco, CA
Financial Controls Manager
San Francisco, CA
Beier, Sauer and Huels
San Francisco, CA
Financial Controls Manager
- Establish, foster, and maintain working relationships with Client and Senior Management
- Assist in the development of business process improvements
- Provides progress updates to management on documentation status, control testing and deficiency evaluation and remediation
- Manage pro forma budget and the cost of over runs
- Assist with acquisition due diligence
- Support, review, and recommend improvements for project accounting processes and programs
- Operate and continually improve key reporting controls
Los Angeles, CA
Manager, Financial Controls
Los Angeles, CA
Jenkins-Rolfson
Los Angeles, CA
Manager, Financial Controls
- Provide assistance and act as a point of contact to Aramark’s external auditors in conjunction with ICOFR testing results
- Providing technical SOX, MAR and COSO internal control guidance to business process areas
- Staying abreast of latest business, organizational, technology and regulatory changes and partnering with other business functions to ensure SOX & MAR guidance is applied consistently
- Developing, issuing and maintaining guidance for SOX & MAR governance activities and initiatives
- Participating in ad hoc projects and initiatives within the SOX Compliance Group designed to enhance the Companys Internal Controls over Financial Reporting (ICFR) framework
- Assessing SOX & MAR control deficiencies, analyzing issues and performing root cause analysis
- Coordinating with internal and external auditors on the annual SOX testing plan and providing support to them to ensure timely and smooth completion of SOX projects
present
New York, NY
Director New Business Financial Controls
New York, NY
Emard-Erdman
present
New York, NY
Director New Business Financial Controls
present
- Serve as a liaison, representing NB while interacting with other departments in providing support to implement projects that impact the departments represented
- 1035 refunds: Established and monitor 1035 refund process, to ensure 1099’s are reported timely and that IRS guidelines are adhered to
- Analyze problematic situations and occurrences and provide solutions to ensure future occurrences are handled properly
- Manages and oversees accounting functions within New Business, Policy Revisions, 1035 and VUL departments
- Return of premium
- Serve as escalation point for New Business Accounting, as well as financial discrepancies that occur within the NB and VUL Underwriting departments
- Responsible for maintaining and updating Sarbanes Oxley Narrative for New Business and Policy Revisions
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Illinois State University
Bachelor’s Degree in Accounting
Skills
Skills
- Solid knowledge of COSO 2013 framework
- Strong written and verbal communication skills
- Banking related knowledge and experience
- Experience in relationship management in a complex environment
- Experience in control documentation and testing
- Experience in audit and risk management
- Post secondary education related to Accounting or Finance
- A recognized accounting designation and 5 to 10 years related work experience
- Experience in preparation of financial and corporate governance documentation for a large and complex organization. Strong written and verbal communication skills
- Experience in internal or external audit and operational risk
15 Financial Controls resume templates
Read our complete resume writing guides
1
Manager, Financial Controls Resume Examples & Samples
- Liaise with assigned Banking Groups to maintain documentation of internal control over financial reporting (ICFR) and to support SOX 404/52-109 documentation refresh/updates as required. Ensure consistent application of the Enterprise ICFR evaluation methodology within their assigned Banking Groups
- Responsible for quality of ICFR documentation relevant to their assigned Banking Groups within ERCS. Provide approval of all changes within their assigned Banking Groups. Provide status updates and escalate issues to the Director, Financial Controls when necessary
- Work with the Director, Financial Controls to
- Perform a quarterly review of the design of the Bank’s Disclosure Controls and Procedures, as well as an annual a review of their operating effectiveness
- Manage the internal representation letter process to support Bank filings and offerings
- Review the quarterly Financial Governance representation letters for Corporate areas
- Co-ordinate Corporate Audit and KPMG testing of controls within the Chief Accountant’s Group
- Assist in conducting the annual SOX inherent risk assessment
- Develop list of controls to be tested at year end and co-ordinate the testing of those controls with Corporate Audit
- Manage the Bank’s auditor independence process, ensuring enterprise-wide compliance with the Auditor Independence Corporate Policy. Responsible for the quarterly Auditor Independence presentation to the Audit and Conduct Review Committee
- Complete special projects for the Chief Accountant’s Group, as required
- Post secondary education related to Accounting or Finance
- A recognized accounting designation and 5 to 10 years related work experience
- Knowledge of Sarbanes-Oxley legislation, NI 52-109 and the Bank’s methodology to meet the regulatory requirements
- Banking related knowledge and experience
- Experience in audit and risk management
- Experience in control documentation and testing
- Experience in relationship management in a complex environment
- Solid knowledge of COSO 2013 framework
2
Financial Controls Analyst / Senior Analyst Resume Examples & Samples
- 5+ years of public accounting or Internal Controls-related work
- 5+ years qualifying experience
- CPA or CIA
- Big Four experience
3
Manager, Financial Controls Resume Examples & Samples
- Support the Director, Financial Controls in maintaining the Enterprise’s SOX compliance framework, including
- Developing and implementing SOX compliance guidelines for the Enterprise
- Establishing a sustainable risk assessment and scoping process to support the Bank’s SOX compliance program
- Establishing and implementing SOX documentation standards
- Developing SOX testing guidelines; and
- Communicating requirements to stakeholders
- Provide guidance and direction to Financial Governance Officers, SOX template owners and other stakeholders across the Enterprise on SOX compliance as a subject matter expert
- Evaluate the significance of identified control deficiencies,
- Facilitate management development of remediation plans of identified deficiencies as required, and
- Monitor remediation progress as required
- Manage the Bank’s quarterly Financial Governance representation process. Review and assess all reported issues for discussion with the Director, Financial Controls and the Vice-President & Chief Accountant. Review Executive representation letters for Corporate areas
- Develop list of controls to be tested at year end and co-ordinate the testing of those controls with Internal Audit
- Prepare quarterly reporting to the Audit and Conduct Review Committee on management’s assessment of the effectiveness of internal control over financial reporting and disclosure controls and procedures
- Maintain the Banks’ Financial Governance Corporate Policy as well as the supporting Finance Standards. Maintain the Bank’s Auditor Independence Corporate Policy
- Develop training and communication for the annual Financial Governance refresher training delivered to Finance and Product Operations
- Support the Director, Financial Controls in executing her role as the Accounting & Financial Management Risk Corporate Support Area for the Enterprise, including
- Review MD&A section on internal controls over financial reporting
- Ability to enforce the Bank’s methodology in SOX 404/NI 52-109 control documentation, testing and deficiency evaluation and remediation
- A recognized designation in internal audit, audit or accounting and 5 to 10 years related work experience
- Knowledge of Sarbanes-Oxley legislation, NI 52-109 and COSO framework
- Experience in preparation of financial and corporate governance documentation for a large and complex organization. Strong written and verbal communication skills
- Experience in internal or external audit and operational risk
- Experience in implementation of the top-down risk based approach to SOX compliance
4
Financial Controls Analyst Resume Examples & Samples
- Bachelor’s Degree in Business Administration, Finance or Accounting
- 3+ years qualifying experience
- Prior experience with internal control framework (e.g. COSO) and/or risk management activities
- MBA or professional certification
5
Manager, Financial Controls Resume Examples & Samples
- Assessing SOX & MAR control deficiencies, analyzing issues and performing root cause analysis
- Participating in ad hoc projects and initiatives within the SOX Compliance Group designed to enhance the Companys Internal Controls over Financial Reporting (ICFR) framework
- Providing technical SOX, MAR and COSO internal control guidance to business process areas
- Minimum 5 years of public accounting and/or relevant risk assessment/internal controls experience
- CPA/MBA/CIA/CISA certification is desirable
- Subject matter expertise in one of the following areas is desirable
6
SOX / Financial Controls Analyst Resume Examples & Samples
- Performing the Design Effectiveness (DE) and Operating Effectiveness (OE) testing as per the defined Testing Approach
- Addressing and clearing any review points raised through Quality Assurance (QA) review in a timely manner
- Escalating any potential testing issues or exceptions to appropriate teams
- Maintaining the Issue Logs, ensuring they are kept up-to-date and detailed
- Providing timely updates to the testing status tracker and ensuring all QA review points are closed out quickly
- Participating in weekly/monthly progress meetings with vendor and UBS process owners
- Performing testing of remediated controls and escalating any potential issues immediately
7
Financial Controls Analyst Resume Examples & Samples
- Bachelor's Degree in Accounting, Business Administration, Finance, and/or related field
- Previous experience with Internal Controls and Sarbanes Oxley
- MBA or professional certification (i.e, Certified Public Accountant, etc.)
- Prior experience with Internal Control framework (e.g. COSO) and/or Risk Management activities
8
Financial Controls Analyst Resume Examples & Samples
- Bachelor's Degree in Accounting
- Related experience with SOX, Controls and Internal Controls
- CPA / CIA / CISA
9
Manager, Financial Controls & Sox-fssc Resume Examples & Samples
- Developing, issuing and maintaining guidance for SOX & MAR governance activities and initiatives
- Participating in and documenting the bi-annual Scope & Coverage process
- Participating in walkthroughs and identifying/validating key controls
- Developing test procedures, executing and documenting testing, and reporting results
- Staying abreast of latest business, organizational, technology and regulatory changes and partnering with other business functions to ensure SOX & MAR guidance is applied consistently
- Participating in ad hoc projects and initiatives within the SOX Compliance Team designed to enhance the Companys Internal Controls over Financial Reporting (ICFR) framework
- Coordinating with internal and external auditors on the annual SOX testing plan and providing support to them to ensure timely and smooth completion of SOX projects
10
Financial Controls Analyst Resume Examples & Samples
- Bachelor’s Degree in Accounting, Business Administration, and/or Finance
- Previous experience GAAP, Sabranes Oxley, and Audit (Financial and Operational) experience
- Strong Controls background
- Excellent communication skills (Written and verbal)
- Strong atteniton t o detail
11
Associate Manager, Financial Controls Resume Examples & Samples
- Developing test procedures, executing and document testing, and reporting results
- Participating in ad hoc projects and initiatives within the SOX & MAR team designed to enhance the Companys Internal Controls over Financial Reporting (ICFR) framework
- Minimum 3 years of public accounting and/or relevant risk assessment/internal controls experience
- CIA/CISA certification is desirable
- Understanding of the 2013 COSO internal control framework and the Sarbanes-Oxley (SOX) Act (Section 404), PCAOB standards, Generally Accepted Accounting Standards of the United States, Securities and Exchange Commission reporting requirements
- Understanding of financial reporting risks and controls
- Good analytical, problem solving and project management skills with demonstrated proficiency in managing multiple projects simultaneously
- Effective written and oral communication skills with proven success in influencing business decisions
- Proven ability to build strong relationships and collaborate across a cross-functional team
- Team player, self starter and motivator, capable of working independently with minimal supervision
- Successful candidate will be results focused, with high energy, flexible and with good work prioritization skills
- Proficient in the use of Excel, Word, Visio Flowcharting etc
12
Financial Controls Analyst Resume Examples & Samples
- Executing and documenting SOX program deliverables
- Assist in implementing detailed FCG strategy, processes and interactions
- Participate in the preparation and delivery of FCG updates
- Provide FCG improvement ideas
- Three to Five years experience in an accounting or auditing role
- Knowledge of Internal Controls and SOX
- CPA or other certification (CIA, CFE, CFA) is a plus
13
Financial Controls Manager Resume Examples & Samples
- At least one year of experience as a Big Four External Audit Manager
- Progressive thinking skills and strong work ethic
- Excellent communication skills to interact with varying levels of management, professional staff, and Big Four external auditors
- Abilty to work within a team and across divisions
14
Financial Controls Resume Examples & Samples
- Deep dive analysis across markets and development of insight on business results, projections
- Alignment and consolidation of PB APAC Planning Process and the Market Level Financial Ambitions
- Finance Business partnership to the markets within PB APAC
15
Financial Controls Associate Resume Examples & Samples
- 3-7 years’ experience
- Some broker-dealer experience
- Demonstrated understanding of various financial products
- CFA
16
Director of Financial Controls Resume Examples & Samples
- Provide leadership in the implementation and maintenance of financial compliance and internal control policies and procedures, business process improvement initiatives, training and communications and monitoring
- Provide effective leadership and direction to ensure business process narratives and/or flowcharts are adequate and complete, and effectively educate the enterprise in their usage while serving as a resource in troubleshooting systemic issues and concerns
- Provide effective direction to Managers to perform walkthroughs with process owners from initiation to recording in the financial statements to ensure business process narratives and/or flowcharts adequately document each process and its underlying controls and to ensure the design of the controls is adequate and addresses the relevant risks
- Provide effective direction to Managers when designing a comprehensive test plan (field and headquarters locations) in accordance with Aramark ICOFR Protocol Statements, oversee execution of testing, evaluate action plan for any required remediation of deficiencies and evaluate the significance of any unremediated deficiencies
- Support management’s overall conclusion on the effectiveness of ICOFR and communicate results to Aramark management and external auditors
- Perform quality review of workpapers to ensure they comply with Aramark ICOFR Protocol Statements
- Act as a point of contact to Aramark’s external auditors for ICOFR activities, including scope of work, testing, remediation and overall assessment and conclusions
- Provide training and communication as needed to Managers to ensure ICOFR requirements are understood and followed
- Provide effective talent management, coaching for performance, employee development, and talent acquisition
- Partner and collaborate effectively with relevant enterprise leadership and governance roles, to ensure successful implementation of enterprise policy requirements
- Perform gap analysis and identify potential areas of financial compliance and internal control risk or opportunity to strengthen internal compliance efforts, and present recommendations for process improvement to senior management
- Develop, enhance and execute relevant processes for monitoring, testing and reporting financial compliance and internal control performance across each business
- A self-starter, confident in his/her abilities, self-motivated and able to work effectively with little supervision
- A results-oriented leader who can make a difference; an individual who has excellent listening skills, critical thinking, takes initiative, accepts accountability and has a "can do" attitude with a sense of urgency
- Ability to effectively problem solve, being creative and flexible in thought attitude, and agility to adapt to new situations in a rapidly changing, dynamic environment
- A strong value system and unquestioned integrity
17
Manager, Financial Controls Resume Examples & Samples
- Provide oversight of the GBS internal control environment and recommend, implement and monitor remediation actions to completion
- Identify potential areas of compliance vulnerability and risks, or opportunities to strengthen internal compliance efforts and present recommendations for process improvement
- Demonstrated ability to work on multiple projects simultaneously
- Thorough knowledge of U.S. GAAP and FASB regulations and procedures as they related to particular area of accounting and/or business processes
- Knowledge of Sarbanes-Oxley, COSO 2013, PCAOB Practice Alerts
- Possess knowledge of ICOFR Compliance best practices
18
Financial & Controls Specialist Resume Examples & Samples
- FPRP, Incurred Cost, Quarterly Actual and Billing Submissions to DCMA
- DCAA audit request focal
- Sarbanes Oxley compliance
- Guidance for the site on general compliance to UTC policies and procedures
- Overhead and fringe rates analysis
- Support the monthly close & forecast
19
Senior Manager of Financial Controls Resume Examples & Samples
- Provide oversight of the corporate internal control environment and recommend, implement and monitor remediation actions to completion
- Design a comprehensive test plan in accordance with Aramark ICOFR Protocol Statements, coordinate and execute testing, evaluate action plan for any required remediation of deficiencies and assist in evaluation of the significance of any deficiencies
- Perform training on internal controls and company audit standards
- Support internal audits separate from ICOFR requirements, track action plan development and completion
- Individual should demonstrate initiative and ingenuity with the ability to work independently
- Minimum of 4 years of progressively responsible audit/accounting experience is required (Big 4)
- Experience in design, implementation, monitoring and managing internal control audit plans for an SEC registrant is required
20
Financial Controls Manager Resume Examples & Samples
- Update and track project budget, costs, expenditures, commitments accurately
- Update anticipated cost reports and issue financial reports on a monthly basis
- Create and update cash-flow projections
- Reconcile with Client’s accounting group on a monthly basis
- Billings, Reporting and Invoice management and cost reconciliations
- General Administration and Project Coordination
21
Manager, Financial Controls Program Resume Examples & Samples
- Partner with business unit controllers and Financial Controls Program team to execute program objectives
- Develop an understanding of business processes and controls
- Identify and meet with process owners and conduct interviews and walkthroughs
- Prepare flowcharts, control matrices, narratives and controls testing plans of the assigned processes
- Evaluate the current state of control environment and individual controls
- Correlate findings and develop overall conclusions
- Identify control risks and deficiencies and recommend improvements
- 5-7 years public accounting or mix or public accounting/internal audit
- Experience in public company SOX implementation highly desirable
- Extensive experience in controls documentation; ideally on initial engagements
- Experience in interviewing clients and interpreting client data
- Familiarity with complex/matrixed client or corporate environments
- Financial services industry experience highly desirable
22
Director, Financial Controls Program Resume Examples & Samples
- Lead multiple work streams ensuring consistent application of project methodology and manage project teams
- Coordinate and collaborate with external partners
- Meet with process owners and conduct interviews and walkthroughs
- Prepare flowcharts, control matrices, narratives and controls testing plans of applicable financial processes
- Evaluate the current state of the control environment and individual controls
- 10-15 years public accounting or public/private mix
- Extensive experience in controls assessment and documentation; ideally on initial engagements
- Thorough understanding and experience with Sarbanes Oxley
- IT audit experience helpful
- Strong collaboration, influencing and communications skills
- Manage team members
- Ability to work as integral part of high-performing team
- Quickly understand and connect key concepts
- Interview subject experts and interpret into written documents
- Work independently and exhibit both independent thinking and good judgment
- Assess controls and control environment and recommend improvements
- Understand and assess end-to-end processes and recommend improvements
- Exhibit strong interpersonal skills
- Participate in and / or lead cross company activities
- Influence groups that are not directly managed by the business unit controller
- Multi-task and work under pressure and hit deadlines
- Demonstrate critical writing skills and excellent communications skills
- Generate clear, concise depictions of process flows
23
Senior Manager Financial Controls & Analysis Resume Examples & Samples
- Partner with Insurance Accounting and Medicare Product Subject Matter Experts to develop and implement financial policies, controls, and efficiencies for various areas including intercompany allocations, receivables tracking, accruals, client payments, cash forecasting, and parent company flow of funds
- Partner with Finance, Insurance Accounting, and Medicare Product Senior Management to manage SG&A expenses for the Medicare Product Team and Insurance Companies and develop monthly reporting and metrics
- Partner with Insurance Accounting and Medicare Product Subject Matter Experts to analyze financials for key areas including bad debt, claims adjustments, and direct/indirect remuneration
- Partner with Finance, Insurance Accounting, and the Medicare Actuarial Team to analyze the monthly insured PDP P/L and reconcile differences between actuarial and accounting views
- Assist in the development of a robust risk management structure for the insurance companies incorporating risk metrics and reporting in conjunction with the Own Risk & Solvency (ORSA) requirements
- Analyze profitability of Retiree product offerings
- Partner with Prescription Drug Event (PDE) team to analyze financials of Medicare claims (adjustments, rejects, plan year reopenings
- Participate in strategic initiatives as needed
- MINIMUM QUALIFICATIONS
- Bachelor’s degree in Finance, Economics, Accounting or other analytical area required; MBA a strong plus
- Proficient in MS Office suite (Advanced Excel, PowerPoint, Access)
- Excellent database management and technical skills; VBA and SQL a strong plus
- Knowledge of PBM or Healthcare industry a strong plus; Knowledge of Insurance Accounting and Regulations preferred
- Financial reporting experience including accounting, P/L analysis, budgeting, and forecasting
- Ability to lead cross-functional teams, manage large projects and interact with all levels of management
- Ability to work independently and effectively in a fast paced, highly regulated, dynamic environment
- Ability to anticipate issues and take initiative to resolve them, maintaining alignment across impacted areas
- LI-JN1
24
Financial Controls Senior Auditor Resume Examples & Samples
- Review and recommend updates to business processes and internal controls (i.e., policies and procedures) in narrative and/or flowchart form
- Work with process owners to perform walkthroughs from initiation to recording in the financial statements to ensure business process narratives and/or flowcharts adequately document each process and its underlying controls and to ensure the design of each control is adequate and addresses the relevant risks
- Make recommendations for changes in policies and procedures to correct accounting related problems and processes
- Document testing results in accordance with Aramark ICOFR Protocol Statements
- Provide assistance and act as a point of contact to Aramark’s external auditors in conjunction with ICOFR testing results
- Excellent interpersonal and communication skills, sound judgment and ability to learn quickly while working in a fast-paced, dynamic environment
- Minimum of 2 years of progressively responsible audit/accounting experience is required (Big 4)
25
Financial Controls Analyst Resume Examples & Samples
- Perform controls testing within US NG standards, working within SOX scope. Deliver high quality testing documentation on schedule, within budgeted time
- Identify and escalate potential issues
- Provide insight and recommendations for process improvements, articulating interrelationships between financial statement risks and processes
- Actively support team projects, providing data analysis and recommendations for process improvement opportunities
- Develop good understanding of end-to-end process, risk & controls framework to determine effectiveness of controls design
- Develop good relationships with Process Owners and Control Owners to facilitate collaboration across business areas
- Participate in achieving goals and metrics of Controls Excellence, including support of regular dashboard and Steering Committee reporting requirements
- Proactively support a collaborative team working environment and focus on the design of new and improved processes in order to achieve business objectives and continuously improve performance within the Controls Excellence Team
- Keep up to date with accounting principle developments and regulatory accounting developments in order to ensure the optimization of best practice for National Grid
- Approximately 20% travel to multiple NG locations is required
- Bachelor’s degree in Business Administration, Finance or Accounting
- 3+ years qualifying experience, public accounting experience is preferred
- Prior experience with internal control framework (e.g. COSO) and/or risk management activities is a plus
- MBA or professional certification is a plus (e.g. Certified Public Accountant)
26
Financial Controls Analyst Resume Examples & Samples
- Perform controls testing working within SOX scope while deliver high quality testing documentation on schedule, within budgeted time
- Provide insight and recommendations for process improvements, articulating interrelationships between financial statements risks and processes
- Develop good understanding of end-to-end process, risk and controls framework to determine effectiveness of controls design
- Prior experience with internal control framework and/or risk management activities is a plus
27
Executive Director Financial Controls Resume Examples & Samples
- Promote and deploy best practice business improvement methodologies to deliver effective change, strengthen internal controls, enable profitable performance, increase customer loyalty and stimulate growth
- Direct and lead the Studio Operations Support department day-to-day functions including: centralized billing, procurement, payroll, and inventory control. Supervise a small staff
- Coordinate with Corporate Accounting to ensure accurate and timely monthly close. Ensure all closing processes and tasks are performed by various departments as necessary including posting of all closing entries and balance sheet reconciliations
- Represent the Studio Group in various administrative matters including property tax, sales tax and insurance. Coordinate with Corporate tax and insurance departments to ensure accurate valuation and reporting
- Oversee the effectiveness of the financial control environment affecting the Studio Group including management of the DOA and identification & correction of any internal control issues. Coordinate controls with the Corporate Compliance department
- Partner with Studio Group operating leaders to identify inefficiencies or weaknesses in any operating process and/or system. Lead initiatives to improve processes, controls and systems from design through implementation
- Partner with IT to manage system improvements and implementations, acting as a liaison between IT and operations to ensure all business needs are properly met and all systems are developed with adequate financial controls
- Represent the Studio Group in various Corporate led system enhancements or special projects
- Maintain and develop policies and procedures related to each line of business within the Studio Group
- Complete ad-hoc projects or assist as necessary at the direction of senior management
- Minimum 10 years progressive experience
- Project management and systems implementation related experience
- Policy and procedure development
- Continuous improvement / Six Sigma / Project Management certification
- Ability to motivate others, mentor and effectively manage staff
- Microsoft office expertise
- Experience with SAP and other commonly used business systems (Maximo, Xytech, etc.)
28
Manager, Financial Controls Resume Examples & Samples
- Provide leadership, support and talent development opportunities for a team of 9 financial control specialists
- Ensure that accounting requirements are met on a weekly, monthly, and/or quarterly basis within required timelines
- Manage and review the completion of monthly account reconciliations and unclaimed property reporting
- Responsible for ensuring an adequate control environment is maintained for the processes that the team supports
- Act as a key contact for regulatory, external and internal auditors and ensure that requested supporting documents and explanations are provided
- Communicate effectively with management and ensure that issues are raised and addressed in a timely manner
- Identify and execute process improvement opportunities on an ongoing basis
- Provide leadership and support for relevant Canadian and/or Corporate projects and initiatives
- Prepare and support ad hoc reporting and analysis as required
29
Financial Controls COE Leader Resume Examples & Samples
- 30% Design/Deployment of Global Control Framework
- The Global Leader responsible for the design and facilitating the deployment of a new, consistent, internal global control framework
- Lead the defining, developing, and maintaining internal control policies and procedures
- Develop internal control design and operational assessment processes with the Corporate Controller, Regional and Country Controllers, and Process and Control Owners
- Monitor status against project plans/timeline and prepares periodic status reports for Regional Controllers, Corporate Controller and CFO LT
- 40% Ongoing Leadership of Global Control Framework
- Pro-actively assesses internal control deficiencies and makes recommendations to senior finance managers as to the appropriate classification and severity, the appropriate actions to re-mediate any deficiencies, and any policy changes
- Ensure finance employees have full knowledge, awareness and timely/efficient access to the framework
- Oversee process improvement initiatives to enhance accounting and internal control systems
- Ensure the internal control documentation remains accurate and up to date
- Lead projects to ensure compliance with internal controls due to key finance, business and/or system initiatives
- Define the quarterly certification process
- Set the strategy for the risk assessment, materiality determination and review process
- 20% Managing Relationships
- A key liaison with senior financial leaders across the company to ensure adherence to and understanding of the global control framework
- Primary Contact for Corporate Audit on behalf of the Controllers to agree on appropriate control processes
- Facilitate the education of business leaders about their roles and responsibilities related to internal controls over financial reporting and disclosures, including ownership and accountability for internal controls
- Promote company awareness of processes, internal controls policies and requirements
- 10% Finance Leadership / Talent & Resource Management
- Provides direction and vision to his/her team on the Global Financial Controls framework and key objectives
- Leads the team that documents and consults on financial controls and company policies
- Manages the team in the creation of content for internal control training, which can be utilized by groups across the organization
- Bachelor's degree or higher in Accounting/Finance
- 10+ years of experience in finance, accounting and/or audit
- Internal controls framework implementation experience for a large company or equivalent experience
- Strong Management/Leadership Experience
- Strong proficiency and solid hands-on project management experience in the finance, accounting or audit
- Expert skills covering internal control documentation, process narratives, process flows, risk assessments and related areas
- Strong independent problem solving, project management and analytical skills
- Demonstrated strategic thinking skills to prioritize work in alignment with project objectives or goals, recognizes linkages and understands impact of individual actions on other parts of the organization
- Demonstrated service orientation to monitor others' work to ensure quality and alignment in meeting organizational needs
- Experience leading change by questioning the status quo and identifying specific opportunities to improve internal controls
- Demonstrated personal development skills by actively seeking feedback from others and modifies behavior accordingly
- Proven ability to manage and develop others by providing direct, constructive feedback to help others improve performance and develop new skills/talents, identifying current developmental needs and arranges for new assignments and formal training to build upon strengths
- Certified Public Accountant (CPA) and/or Certified Internal Auditor (CIA)
- Experience with SOX 404 compliance
- Significant coordination or management of policy and procedure development and communication for large corporations
30
Director Financial Controls Resume Examples & Samples
- Key liaison for the external and internal auditors for Sox testing; manage the evaluation, documentation and remediation of control deficiencies
- Align with the business units to understand new transactions, business process changes and organizational changes that have a potential internal controls impact
- Manage the evaluation of the effectiveness of the design and operation of disclosure controls and procedures and the evaluation of the effectiveness of internal control over financial reporting, as well as other requirements in support of the CEO/CFO certifications
- Partner with Internal Audit and Compliance to identify issues and improve business processes and controls
- 13+ years of experience including Sr. Manager level with Big 4
- Strong knowledge of US GAAP, SOX and COSO
- Advanced degree preferred (MBA)
31
Financial Controls Manager Resume Examples & Samples
- Leads the documentation, review and validation of key business processes and internal controls within the Retail Pharmacy USA business to ensure consistency with other WBA Divisions. Performs periodic quality reviews and liaisons with business owners to update documentation accordingly
- Manages internal control testing plans across the business and IT processes . Ensures testing plans are executed within the agreed-upon timeline and updated to reflect issues identified during testing and additional controls established as remediation
- Leads sessions to discuss testing procedures and findings with process owners. Partners with the process owners to develop remediation plans to address internal control deficiencies and failures arising from the testing process. Oversees the implementation of identified remediation tactics
- Monitors processes to ensure changes impacting financial/regulatory reporting are appropriately identified and assessed
- Provides progress updates to management on documentation status, control testing and deficiency evaluation and remediation
- Manages the quarterly SOX certification and other monthly certification exercise and provides updates to senior management on the status. Participates as needed to interview process owners and leaders in the Divisional functions to ensure that all certification qualifications are assessed and addressed accordingly
- Bachelor's Degree and at least 2 years of experience in accounting, finance, business management, information technology or audit OR High School Diploma/GED and at least 5 years of experience in accounting, finance, business management, information technology or audit
- Experience in Sarbanes-Oxley internal control documentation, testing and assessment
- Experience in analyzing and assessing risk in business or system processes, evaluating internal controls and developing recommendations
- Experience applying internal control concepts such as COSO and COBIT
- Experience using time management skills such as prioritizing/organizing and tracking details and meeting deadlines of multiple projects with varying completion dates
- Intermediate level skill in Microsoft Visio (for example: making changes to the flow based on changes in the process, changing style and/or formatting font)
- At least 1 year of cross-functional team leadership experience
- Willing to travel up to 15% of the time for business purposes (within state and out of state)
- Advanced accounting qualifications such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), or Certified Information Systems Auditor (CISA)
- Master’s Degree in Accounting or MBA
- Experience in the Retail, Pharmaceutical, or Healthcare industry
32
Manager Financial Controls Resume Examples & Samples
- Manage Business Unit personnel in ensuring working papers support results of examinations, and that findings, conclusions, and recommendations are reported in a clear, concise, and timely manner for the business and are maintained to satisfy requirements of Sarbanes-Oxley
- Coordinate with the business in support of their needs to design or remediate controls – this will include effectively interacting with Senior Management, other key managers, and the external auditor
- Evaluate the effectiveness and adequacy of financial internal controls
- Supervise the business control owners in identifying changes which could impact the internal control environment
- Administer the business control owners and Internal Audit in the development, implementation, automation, and optimization of financial internal controls
- Organize controls information in the PeopleSoft Internal Controls Enforcer system and be proficient in using the system. Train business unit contacts (up to 40 individuals) supporting self-assessment under your direction in how to use the system and execute the Exelon Sarbanes-Oxley methodology
- Manage Business Unit personnel in preparing formal written reports, as requested, expressing opinions on the adequacy and effectiveness of financial internal controls and the operational efficiency with which activities are conducted
- Actively provide FCG improvement ideas to Director
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Internal Financial Controls Specialist Resume Examples & Samples
- Manage the review, analysis and implementation of effective internal controls systems across Alphabet in the UK to help ensure the integrity of financial reporting in compliance with Regulatory and BMW Group guidelines
- Challenge Heads of departments and cost centre managers on their processes and controls from both an operational and financial point of view. Co-ordinate the internal controls annual review cycle and ensure that effective internal controls are in place, documented appropriately and reviewed regularly to prevent operational or financial risk
- Analyse processes and identify any control weaknesses - proposing solutions to strengthen processes
- Ensure control failings are immediately addressed and understand the failing to mitigate future issues. Work with control owners to rectify identified deficiencies and report on corrective actions
- Work closely with colleagues in the UK and Munich to share best practice and form strong working relationships to facilitate a collaborative approach to resolving issues
- Proven relevant experience gained within a financial services oriented environment - specifically covering internal controls - would be advantageous. Relevant qualifications (qualified or part qualified accountant - or equivalent) and an exceptional level of commercial awareness, gained possibly from exposure to a variety of organisations via an audit / post audit commercial environment
- Well-developed analytical and information gathering skills: able to question complex information to identify cause and effect and deliver attractive solutions as well as displaying an entrepreneurial spirit
- Effective, proactive communicator and inspirational, collaborative team member; able to prioritise and ensure deadlines are met through effective time management. Inspirational relationship builder with the ability to deliver commercial and operational messages and influence stakeholders drawn from a wide audience
- Passionate about what you do and about delivering an outstanding level of customer service for both internal and external customers
- Great eye for detail with strong Word and Excel skills
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Financial Controls Analyst Resume Examples & Samples
- Execute and document SOX program deliverables in accordance with Exelon audit methodology/techniques (including but not limited to: scoping, walkthrough, Risk and Control Matrices creation, baselining and benchmarking key reports/functionalities/interfaces, design and operational effectiveness testing of IT Application and IT General Controls, deficiency evaluations) and program calendar, ensuring working papers support results of examinations, and that findings, conclusions, and recommendations are reported in a clear, concise, and timely manner for the business and are maintained to satisfy requirements of Sarbanes-Oxley (this will involve training self-assessment resources and monitoring their progress, when applicable)
- Assist Manager/Senior in serving as liaison/business partner to the business in support of their needs to design or remediate controls – this will include effectively interacting with Senior Management, other key managers, and the external auditor
- Participate in the preparation and delivery of FCG updates and training to Business Unit personnel
- Proactively partner with the business to identify changes which could impact the internal control environment
- Proactively partner with the Controller’s group and Internal Audit in the development, implementation, automation, and optimization of financial internal controls
- Actively provide FCG improvement ideas to Manager/Senior
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Financial Controls Risk Student Resume Examples & Samples
- Incoming sophomores to incoming juniors
- Business Administration – Finance & Accounting Majors
- Minimum 3.0 GPA requirement
- Organizational skills
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Director, Financial Controls Resume Examples & Samples
- Manage the company’s Sox compliance program worldwide
- Perform risk assessments to ensure proper design of control activities, evaluation of key controls and appropriate/sufficient documentation
- Support process owners in maintaining and updating their process narratives/flowcharts; and control owners in ensuring the appropriate/sufficient evidence of controls
- Monitor PCAOB requirements and the assess the impact to the company
- Identify opportunities for process and efficiency improvement
- Strong leadership and project management skills, ability to interact with management, excellent verbal and written communication skills
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Financial Controls Risk Assessment Analyst Resume Examples & Samples
- Bachelor’s Degree required; MBA preferred
- Experience partnering with business clients to improve Sarbanes-Oxley control environments
- Ability to document narratives and develop automated work paper files to facilitate a thorough and efficient SOX audit process
- Experience collecting and analyzing complex data and evaluating information and systems
- Experience planning and managing projects with the ability to maintain composure under pressure while meeting multiple deadlines
- Proficient with MS Word, MS Excel, and other business software to prepare reports, memos, summaries and analyses
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Accounting Policy & Financial Controls Manager Resume Examples & Samples
- Independently complete areas of the Form 10-Q and 10-K filings, as assigned, such as MD&A, EPS, segment reporting, and equity
- Support the preparation and review of goodwill and indefinite lived impairment analysis
- Support the review of proxy statement
- Review data submitted by Corporate functions and SBGs for reasonableness, proactively identifying inconsistencies and leading follow-up discussions
- Review presentations for external investors, confirming the accuracy of information and consistency with previous filings or presentations
- Support implementation of new accounting standards
- Support administration of Controllership training program
- Support internal audit and SOX documentation related to the areas assigned
- Support Controllership role in M&A activities
- 4+ years of experience in the Accounting or Finance field
- Strong internal controls skills
- Ability to view complex/conflicting data, identify issues and propose solutions/alternatives
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Internal Financial Controls Analyst Resume Examples & Samples
- Perform and document annual risk assessment of enterprise wide financial processes including SOX404
- Lead both manual and IT end-to-end process reviews that include process owners and subject matter experts evaluating risks and defined controls. Support evaluation of control design and effectiveness collaborating with control owners. Define documentation standards
- Develop SOX 404 Program plan, define program phases, requirements, and owners
- Define required control improvements that address control gaps and optimize operating effectiveness of controls
- Assess control remediation, assist control owners and track remediation status of reported control exceptions
- Bachelor’s degree in accounting, finance or technology or the equivalent combination of education, training, or work experience. One or more relevant professional certifications, i.e., CPA (Certified Public Accountant), CIA, CISA, CFE) preferred
- At least 3 years of experience in finance/accounting, auditing, process design and review, risk assessment of business and/or systems processes/evaluation of internal financial controls
- Detailed knowledge of internal financial control concepts both manual and IT and their application including SOX404
- Skilled performing formal risk assessments, leading end to end process reviews and planning projects that address both control design and effectiveness
- Experience diagnosing, isolating, and resolving complex issues and recommending and implementing strategies to resolve effectively
- Perform work duties with limited supervisor oversight and work in a team environment
- Excellent verbal and written communication skills. Ability to communicate effectively at various levels of the organization
- Ability to lead initiatives and collaborate with peers, process owners, audit, and management
- Detail oriented, ability to manage multiple initiatives simultaneously and adhere to strict deadlines
- CPA, MBA, or Public Accounting experience preferred
- Experience performing similar job responsibilities in global organization
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Senior Manager, Financial Controls Program Resume Examples & Samples
- Ability to quickly understand and connect key concepts
- Works independently and exhibits both independent thinking and good judgment
- Strong interpersonal skills. Able to participate in and / or lead cross company activities
- Ability to multi task, work under pressure and hit deadlines
- Excellent critical writing skills
- Ability to generate clear, concise depictions of process flows
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Financial Controls Manager Resume Examples & Samples
- Perform detailed reviews of deliverables prior to submission to the client
- Develop checklists to ensure there is a high quality review process and constantly maintain and update the checklists to maintain quality
- Coordinate with Client Service team to manage deadlines and client expectations
- Interact with clients on weekly/monthly calls and ad-hoc as a technical resource when needed
- Work with members of the Fund Accounting, Client Service, Implementation, and Technology teams to streamline reviews and enhance policies and procedures
- Provide coaching and feedback to members of the Fund Accounting team and serve as a subject matter expert where necessary
- Ensure strong internal and external communications on status, issues, and expectations
- Build relationships with responsive, confident communications and attention to detail
- Participate in interactions with external SOC 1 and fund-client auditors
- Work experience of 3+ years in accounting within the financial services industry is preferred
- Fund administration, private equity, credit, and real estate funds experience is a plus
- Must have good client relationship skills, strong attention to detail, and good technical and system knowledge
- Must be deadline driven and able to prioritize and manage multiple deliverables and deadlines
- Strong proactive interest in learning and mastering new investment concepts, new accounting rules, and new service processes is required
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Financial Controls Senior Analyst Resume Examples & Samples
- 50% Deploy Control Framework
- 25% Assess, Identify, and Report Financial Control Risk
- 25% Monitor & Improve Controls and Compliance
- Minimum 5 years of accounting or finance experience in leadership positions
- Proven accounting/finance leader with strong problem solving and analytical skills
- Demonstrated ability to understand and use technology to improve process and control
- Self-starter to initiate change and drive results
- Proficient knowledge in current business financial processes and systems
- 2 years’ experience with controls/compliance
- Understanding and experience working with JDE, SAP, and other AS400 applications
- Experience with multiple businesses and/or international business experience
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Accounting Manager of Financial Controls Resume Examples & Samples
- Partner with various Finance teams (Accounting, Financial Planning and Analysis, Treasury, and Tax) to provide expertise and appropriate documentation regarding the internal controls for SOX 404 compliance
- Provides leadership for appropriate financial internal control matters related to all acquisition and expansions as well
- Manages the SOX Core Team and the Financial Reporting Risk and Controls Committee (FRR&C) which is chaired by the Amgen Chief Accounting Officer and Chief Audit Executive
- Manages communications to the Amgen CFO and CEO regarding SOX 404 compliance and SOX 302 reporting matters
- Manages the relationship with Ernst & Young (E&Y) and serves as a liaison between process owners, corporate audit and E&Y to ensure a clean SOX 404 opinion
- Benchmark and monitor all developments in financial internal control guidance externally
- Educate and build awareness on internal control matters
- 4+ years of corporate or public accounting experience
- Certified Public Accountant (CPA) or MBA
- Audit or Big 4 Public Accounting experience
- Comprehensive accounting knowledge on Generally Accepted Accounting Principles (GAAP), and internal controls
- Strong written, verbal communication, and presentation skills and be able to bridge culture differences
- Excellent analytical, problem-solving and organizational skills
- Ability to work independently, to multi-task, and to establish priorities
- Experienced, energetic finance executive with a strong accounting and/or internal control foundation
- Proven governance skills and outstanding communication capabilities
- Comfortable and confident dealing with all levels of management within the organization
- Proficient in Microsoft Excel, Word and PowerPoint
- Experience with SAP and BW, Hyperion, EDW applications
- Industry experience
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Program Financial Controls Manager Resume Examples & Samples
- Experience in strategic planning and execution
- Ability to motivate teams to produce quality materials within tight timeframes and simultaneously manage several assignments
- Excellent professional written and verbal communication and interpersonal skills
- A minimum of 10 years of experience related to project and program-level controls on major construction programs
- BS/BA Degree in Civil Engineering, Construction Management or another construction related subject; or a BS/BA Degree in Finance, Accounting, and MBA Degree
- Specialized skills and proficiency with project/program controls software and web-based program management systems
- Local construction industry knowledge and experience preferred
45
Financial Controls Intern Resume Examples & Samples
- Excel and PowerPoint
- Financial systems HFM and SAP
- Working across different levels of an organization
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Financial Controls Manager Resume Examples & Samples
- 40% Deploy Control Framework
- Bachelor’s Degree or higher in Finance or Accounting
- Minimum 10 years of accounting or finance experience in leadership positions, including minimum of 2 years with controls/compliance
- Demonstrated ability to develop and implement long term strategic plans
- Demonstrated ability to influence at all levels of the organization
- Ability to communicate, influence and build trust across multiple stakeholder groups
- Experience with SOX compliance
- Demonstrated ability to create a team culture of continuous improvement, process optimization, and intellectual curiosity
- Understanding and experience working with JDE, SAP, and Lynx
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Financial Controls Manager Resume Examples & Samples
- Initiate, plan, and execute all project accounting functions as committed
- Manage and maintain accurate budget information to include; bills, invoices, and requisitions at all times
- Perform financial analysis, develop management reporting tools, conduct payment and budget process reviews, write and/or update policies and procedures for development management projects
- Determine, update, and track project budget costs, expenditures, and commitments accurately
- Create and update cash flow projections
- Manage pro forma budget and the cost of over runs
- Review, approve, and process vendor invoices and contractor’s pay applications
- Prepare and issue monthly draw request packages to Client for payment
- Lead and initiate the purchase order process to new vendors or existing vendors for additional services
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Intermediate Financial Controls Analyst Resume Examples & Samples
- Support the Director of Controllership Investment Finance Internal Control over Financial Reporting (ICFR) and other divisional internal control activities ensuring controls are designed, operating effectively, and adhering to company policies and standards
- Professional accounting designation (CPA/CFA), or working towards a designation
- 3 - 5 years industry experience
- Background in audit (internal or external), SOX testing
- Proven experience in developing strong working relationships with business partners and stakeholders
- Ability to work independently and with minimal supervision, adaptable to changing priorities
- Strong interpersonal and communication skills with the ability to influence and lead others
- Highly motivated with the ability to consistently seek out improvements to current processes (continuously seeking to add value)
- Ability to work with cross-functional teams and across multiple locations
- Excellent knowledge of Lotus Notes, Word, Excel and PowerPoint
- Detail oriented with excellent time management skills
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VP Financial Controls COE Resume Examples & Samples
- Demonstrated experience of applying internal controls in a senior finance role
- Deep Understanding of financial control,
- Deep accounting knowledge
- Understanding of process design and optimization and experience of working in this areas
- Understanding of finance specialist areas: tax, treasury, M&A, compliance, corporate governance and ability to utilize proper judgement to assess them as necessary
- Participation in international projects, may be short or long term (preferred but not required)
- #LI-NB0
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Financial Controls / Risk Manager Resume Examples & Samples
- Strong experience in risk and control identification, analysis, assessment, and measurement
- Strong demonstrable knowledge of risk management and internal control principles
- Proven ability to build and/or lead a team of individuals
- Ability to build strong partnerships with key stakeholders
- Knowledge of Insurance/Consulting industry and their operational processes desired
- Demonstrable ability to collaborate with business and functional experts to provide control assessment guidance and direction, and to recognize risks, control gaps and design enhancements
- Strong organizational, project management, and multi-tasking skills with demonstrated ability to manage expectations and deliver results
- Strong decision making, analytical and creative thinking skills
- High level of professionalism, self-motivation, and sense of urgency Self-Starter and ability to work independently
- Excellent communication skills (written and verbal) required, including presentation skills
- Proficiency in Microsoft Excel, PowerPoint required, Visio, etc. desired
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Assistant Director, Financial Controls Resume Examples & Samples
- Plans, directs, organizes and schedules the activities of the financial controls function
- Establishes University financial controls review programs by applying expert knowledge and professional application of accounting and auditing principles, practices and techniques in accordance with industry standards, current laws, regulation and University Policy
- Develops a comprehensive knowledge of the University’s core financial systems in addition to the relationship between central and departmental systems, and the University's audited financial report
- Works with departments on all campuses to help develop and maintain strong financial controls throughout the University
- Develops financial control monitoring procedures for high risk areas throughout the University
- Tests and reports on financial controls to ensure ongoing compliance and consistency
- Meets with University management to discuss financial control assessments and recommendations to strengthen financial controls to improve efficiency and effectiveness
- Develops, implements and analyzes financial control self-assessment questionnaires, and makes recommendations for process improvements
- Manages resources to accomplish goals and supervises assigned staff on specific projects and processes
- Develops and facilitates financial control workshops throughout the University
- Establishes and maintains relationships with like positions at other universities or businesses to ascertain best practices within this function
- Demonstrates effective project management focused on meeting defined milestones
- Assumes or coordinates other projects or duties as assigned or directed
- Demonstrated knowledge of accounting and/or auditing principles as it relates to internal controls
- Demonstrated knowledge of COSO 2013 framework
- Demonstrated knowledge of Sarbanes-Oxley best practices
- Evidence of a Certified Public Accountant (CPA) certification
- Evidence of advanced ACL skills
- Evidence of advanced excel skills
- Demonstrated knowledge of accounting and auditing principles, theory and practices
- Experience in analyzing financial transactions and determining effective processes, policy development and training procedures
- Demonstrated knowledge of the principles of exemplary customer services demonstrated through actively listening, acknowledging, and responding to every inquiry
- Experience in taking ownership and resolving each concern or problem as appropriate
- Experience in conflict resolution
- Experience in problem solving with the ability to apply strong critical and logical analysis to business scenarios in the context of technology and data architecture
- Evidence of effective verbal and written communication and the ability to clearly articulate to all stakeholders
- Experience in managing, supervising and evaluating assigned staff
- Experience in working effectively in an environment subject to changing priorities, sensitive/confidential information and short deadlines
- Experience in developing and maintaining cooperative working relationships both within and across organizational areas
- Experience in stimulating changes in individual, institutional, and corporate behaviors to create a more sustainable environment
- Experience in leading by example in communicating, participating and encouraging support of the institution’s sustainability programs
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Financial Controls / SOX Manager Resume Examples & Samples
- Responsible for the designing and implementing a framework to reduce the potential for accounting and reporting errors. This includes assessing the adequacy of design and operating effectiveness of SOX controls, including compliance, work oversight, testing and issue resolution. Documents key processes and risk
- May be required to work and coordinate with internal and external auditors on SOX testing. Recommend enhancements to the corporate SOX program to improve the overall internal control environment. Requires a full understanding of the businesses and the financial risks
- Act as the control point for all GL certifications and review for potential errors and compliance with GL policies
- Work with stakeholder to resolve any issues identified in a timely manner
- Develops the necessary reference tools that clearly explains the accounting for various bank products, which can be used by a wide range of key stakeholders
- Coordinates general ledger reconciliation policy compliance, training and issue remediation and recommends best practices
- Work with business unit partners to ensure that documentation is current, complete, and accurate
- Manage the accounting review process for all new products; incorporate product information into reference tool, implement relevant controls and ensure all testing is completed during the test phase
- Deficiency tracking and remediation
- Review SOX exception test results with business partners to determine issue significance; understand how action plans and remediation timelines impact SOX reporting
- Assist with the audit process and ensure any BUC audit items are addressed and closed in a timely manner
- Assist with related projects as assigned
- A four-year college degree with increasingly more complex responsibility within a financial services company, preferably in banking
- Requires 5-8 yrs+ direct work experience in SOX compliance or internal controls as well as professional accounting work. CPA (or ACCA) is strongly preferred
- Knowledge of accounting for financial products with strong MS Office skills; including advanced Excel, Word and Visio
- Experience with process and controls documentation and SOX testing
- Ability to collaborate with a range of management, from first level supervisors to senior executives required
- Audit experience helpful
- Excellent interpersonal skills and ability to find solutions quickly
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Financial Controls Analyst, Associate Resume Examples & Samples
- 80% - Implement the project plan to ensure the Bank's compliance with internal policies and SOX requirements. Working closely with the Financial Controls Manager, act as a liaison between business unit partners and auditors on financial control-related matters. Coordinate with business unit partners to perform walkthroughs of bank processes, identify key controls that mitigate financial statement assertions, and develop SOX process flows and system diagrams. Develop control testing procedures and collaborate with third-party contractors to execute control testing. Testing scope includes end user computing (EUC), IT general and application controls, and third party SSAE16/18 SOC reports. Evaluate and communicate control deficiencies to the Financial Controls Manager. Organize control documentation in a centralized GRC Open Pages tool and ensure work papers meet documentation guidelines. Responsible for adhering to project budget hours, managing scope creep, addressing third-party tester's inquiries, and issue escalation
- 20% - Assist Financial Controls Manager with key bank initiatives and projects aimed to enhance the internal control environment. Projects include but not limited to enhancing segregation of duties controls across bank applications, process and control optimization, and new product reviews
- Bachelors Degree in Accounting (preferred), Finance, or Information Systems
- 3 - 5 years of progressive experience in a combination of public accounting and/or internal audit with a strong background in financial services, preferably banking
- 2+ years of direct work experience in SOX compliance and internal controls, including ITGCs
- Professional certification such as CPA, CISA, or CIA is preferred
- Strong/broad understanding of accounting, finance, and auditing concepts and standards
- Strong analytical and critical thinking skills to assess risks and controls in business processes
- Ability to own tasks and be flexible for changing priorities and ability to work under pressure to meet aggressive deadlines
- Strategic project management skills. Supervisory experience is preferred
- Proficient in Excel, Visio, Word, PowerPoint, Adobe Acrobat Pro, and SharePoint
- Working knowledge of OpenPages, PeopleSoft, and Hyperion is preferred
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Financial Controls Manager, VP Resume Examples & Samples
- 40% - Design and implement a framework to reduce the potential for accounting and reporting errors. Ensure processes and controls documentation is up to date. Assess the adequacy of design and operating effectiveness of financial controls, identify risk mitigation activities to ensure compliance with SOX requirements. Recommend enhancements to improve the overall internal control environment. Serve as the liaison to risk and audit functions on matters regarding financial controls
- 30% - Deficiency tracking and remediation. Assist business unit partners in evaluating SOX deficiencies and developing remediation action plans. Oversee major remediation efforts, such as logical access and segregation of duties controls across bank SOX applications, and provide support to business partners to ensure timely remediation
- 15% - Act as the control point for all GL certifications and review for potential errors and compliance with GL policies. Work with stakeholder to resolve any issues identified in a timely manner. Coordinate GL reconciliation policy compliance training and issue remediation and recommends best practices. Work with business unit partners to ensure that documentation is current, complete, and accurate
- 15% - For new bank products and processes, assist business unit partners in identifying and implementing SOX controls, ensuring all testing is completed during the test phase. Develop necessary internal control best practices and reference tools, which can be used by a wide range of key stakeholders
- 5 - 7+ years of progressive experience in a combination of public accounting and/or internal audit with a strong background in financial services, preferably banking
- 3 + years of direct work experience in SOX compliance and internal controls, including ITGCs
- Extensive project management and supervisory experience
- Ability to influence people at different levels and negotiate cross functionally
55
Director New Business Financial Controls Resume Examples & Samples
- Manages and oversees accounting functions within New Business, Policy Revisions, 1035 and VUL departments
- Responsible for accounting controls, processes, and procedures within New Business, Policy Revisions, 1035, and VUL ensuring corporate standards and Sarbanes Oxley guidelines are met and procedures are followed. Failure to do so could result in a negative financial impact to our company and customers
- Ensure Sarbanes Oxley reporting is completed in its entirety, standards are adhered to, and imbalances are addressed as needed
- Initial premiums (Pre-authorized withdrawal/Check 21 process, Checks, Wired premiums, Credit Card payments)
- Return of premium
- Cash transfers and Rollovers (Inter-Company funds transfer, Unearned premium, Internal and External 1035 funds)
- Bank Fees, Credit Card settlement, disputes and charge backs
- 1035 refunds: Established and monitor 1035 refund process, to ensure 1099’s are reported timely and that IRS guidelines are adhered to
- Responsible for maintaining and updating Sarbanes Oxley Narrative for New Business and Policy Revisions
- Manages the processes for Accounting including process improvements that ensure high levels of service excellence and customer satisfaction. Provides leadership for implementation, collaborates and assist in projects representing New Business, Policy Revisions, 1035, and VUL with a commitment to delivering results
- Execute and communicate the company’s business strategies to serve people and build trust to fellow Staff Accountants, in order to attain internal SLA’s as well as provide an excellent customer experience
- Analyze problematic situations and occurrences and provide solutions to ensure future occurrences are handled properly
- Serve as escalation point for New Business Accounting, as well as financial discrepancies that occur within the NB and VUL Underwriting departments
- Serve as a liaison, representing NB while interacting with other departments in providing support to implement projects that impact the departments represented
- Anti-Money Laundering: assist in working with legal, compliance and team representatives to revise the existing anti-money laundering workflow and implement one more proficient, shifting partial responsibility to NB Accounting
- Regularly hold meetings with department heads to discuss training needs and trends discovered that require immediate attention
- Establish and maintains reporting mechanisms to demonstrate adherence to SLA’s
- Time-studies
- Staffing models
- Assist in evaluating level of effort for transitioning accounting responsibilities and work from acquired companies to Home Office accounting
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Manager Financial Controls Resume Examples & Samples
- Provide interpretive role of overall DOA framework to specific business needs while ensuring guiding principles remain intact. Provide control and accountability on commitments and transactions made on behalf of the company
- Establish consistency in approval and delegation standards across Mckesson business units while streamlining the business processes and enhancing operations
- Maintain and monitor the DOA SharePoint site, ensure delegations are processed accurately and timely and ensure systems are aligned with current approvals and delegations
- Assist with design and development of new tool/system for approvals and delegations
- Act as a liaison between other Business Unit Coordinators and provide timely responses, training and education
- Establish thorough and ongoing communication and interaction with the business to ensure continuous engagement in DOA matters
- Support the DOA Steering Committee in the evaluation and enhancement of DOA framework
- Thorough knowledge and application of auditing and accounting policies, practices and systems
- Strong interpersonal skills with demonstrated ability to build cross-functional relationships
- Ability to engage with all levels of management
- Ability to manage and prioritize multiple initiatives simultaneously under pressure with competing/short deadlines
- Ability to work independently as well as in a team-based environment
- Attention to detail and solid analytical skills
- Intermediate to advance knowledge in Microsoft Office Suite (Excel, Powerpoint and Word)
- Previous public accounting experience or corporate audit/accounting experience within a large matrix environmement preferred
- SAP or other large ERP experience
- Process improvement exposure
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Senior Manager Financial Controls Resume Examples & Samples
- Lead in the evaluation of the design and operating effectiveness of internal controls and ensure appropriate controls are in place for new business processes or system changes
- Review SOX narratives to ensure documentation exists for all relevant processes and updated in a timely manner with changes to process or controls or changes to the control framework
- Direct the performance and coordination of self assessment testing including management of timelines, assignment of responsibilities, review of results, and providing regular reporting on SOX compliance efforts
- Monitor control deficiencies and support management in the development of remediation plans to address deficiencies in a timely manner
- Manage and maintain positive and collaborative relationships with the business and lead the coordination with internal and external auditors
- Establish consistency in approval and delegation standards across company’s business units while streamlining the business processes and enhancing operations
- Ensure DOA documentation exists for all relevant business units and relevant processes and are updated in a timely manner
- Establish thorough and ongoing communication and interaction with assigned business unit personnel to ensure continuous engagement in DOA matters
- Lead interaction with management on matters concerning DOA and any identified issues. Provide regular reporting on DOA compliance efforts
- Provide developmental coaching and mentoring to staff
- Support the business with various adhoc projects as required
- Previous public accounting experience or corporate audit/accounting experience within a large matrix environment
- Self-motivated, accountable and results oriented
- Demonstrated ability to manage people and lead teams
- Demonstrated ability for trouble-shooting and issue resolution
- Intermediate to advance knowledge in Microsoft Office Suite (Excel, PowerPoint and Word)
- Adaptable to changing environment/technology
