About the Financial & Regulatory Reporting Controls – Program Governance
The Financial & Regulatory Reporting Controls – Program Governance team is responsible for:
Developing and maintaining enterprise-wide policies, procedures, standards and training for SOX Compliance and Internal Control requirements for US Federal Reserve Bank filing for Capital & Stress Testing (FR Y-14 A/Q/M reports) in support of CFO Attestation as well as Internal Control requirements for select broker-dealer reports.
Deploying consistent guidelines for assessment of materiality; applying materiality to regulatory reports to determine in-scope areas; performing risk assessments and gap analysis with partners and prioritizing gap closure; consulting and advising senior management on execution of regulatory reporting within the internal control framework; evaluation of internal control findings and data errors or omissions for proper escalation and reporting, etc.
Driving compliance to requirements and continuous process improvement by influencing and partnering with enterprise wide partners and executives including Global Financial Control, Centralized Regulatory Reporting, Enterprise Stress Testing, Enterprise Data Management, Balance Sheet Capital Management, Corporate Audit, Finance, Compliance, Operational Risk and others.
Supporting other teams within FCO by providing subject matter expertise on internal controls
Developing and presenting materials on the status and results of the program to senior executives across the company including councils and committees charged with oversight responsibilities.
Bachelor’s degree or equivalent (Accounting and/or Finance strongly preferred)
3+ years of relevant audit, risk or compliance control experience, specifically in areas of accounting, finance, regulatory reporting or SOX internal controls
Strong relationship management skills
Proven ability to manage multiple and often competing priorities
Strong executor that is able to drive progress on priorities and issues
Ability to communicate in a clear and concise manner
Graduate degree and CPA designation
Strong MS Excel and PowerPoint skills