Director of Financial Controls Compliance

The Director of Financial Controls Compliance will bring an effective and risk-based approach to the Internal Controls over Financial Reporting and Sarbanes Oxley (SOX) governance. Responsibilities include enhancing and leveraging internal/external partnerships to develop the annual program plan, direct its execution, as well as all process improvement initiatives. This role requires an extensive understanding and experience with varying aspects of internal controls including risk assessment, documentation, testing and information technology controls for a high-growth bank under large bank supervision. The successful candidate will possess a strong work ethic, significant risk and leadership skills, the ability to influence key stakeholders and strong people skills.

• Manage the ongoing annual and quarterly process, documentation and assessments for SOX compliance to include scoping, process walkthroughs and the assessment of control design and effectiveness
• Establish regular communications between executives on the Disclosure Committee regarding scoping, assessment progress, key control testing, control deficiencies in systems design or identified by key control testing failures
• Oversee the remediation of deficiencies identified during testing and evaluate any remaining deficiencies
• Develop/maintain working knowledge of laws and industry guidance for establishing maintaining and reporting on internal controls to include understanding the regulatory requirements for a financial services institution
• Advise and consult with business process owners during design, modification, or streamlining of process and controls
• Develop and produce reports on SOX related project status, trends, and remediation of deficiencies
• Partner with and/or be the liaison between business process owners and Internal Audit and External Audit
• Compliance Training:  Participate in all required compliance training, including Bank Secrecy Act/anti-money laundering training, as well as internal and external training programs, online training, meetings, and seminars/conferences, etc.
• Other Duties:  This job description is not designed to cover or contain a comprehensive list of activities, duties or responsibilities that are required of the employee. Other duties, responsibilities and activities may change or be assigned at any time with or without notice.

• Education: Bachelor's degree Accounting, Finance or related field
• Experience: At least 10 years of experience with internal audit/ risk/ control, 5+ years of proven leadership and experience managing direct reports and executive level reporting

Required Skills:

• Implementation and management experience with end-to-end SOX compliance (risk assessment, control design, testing strategies, etc.)
• Professional Certification is required and may include one of the following: CPA, CIA, CISA, or a Master’s degree
• A sound understanding of IT general controls (ITGC) necessary to evaluate the integrity of the data used to support financial reporting
• Advanced level of understanding of financial statements, financial analysis, and business strategies within the financial services industry including financial reporting processes and the internal control environment
• Strong knowledge of GAAP, COSO, PCAOB Auditing Standards, Sarbanes Oxley, risk and controls standards and banking regulations
• Strong interpersonal skills: written and verbal communication skills; experience managing direct level reports and providing executive presentations
• Proficient in Visio, PowerPoint, Excel, Word, Outlook and WDesk. Knowledge and proficiency in audit software and SOX compliance software
• Be eager to assist in problem solving with all banks, activities, and departments in the holding company and be a good resource for senior managers throughout the organization
• Ability to perform functions with minimal oversight
• Have project management skills and able to meet deadlines

Preferred Skills:

• Experience with financial statement audits of mid-to-large financial services entities; and overall knowledge of general accounting and audit procedures

• Must be able to pass a criminal background & credit check

FLSA Status: Exempt

Supervisory Responsibility

This position manages employees and is responsible for the coaching, development, and performance management of those employees.

Working Environment and Physical Demands

This job operates in a professional office environment. The role routinely uses standard office equipment such as computers, phones, copy machines, and printers.

Physical requirements: sedentary, climbing, standing, stooping, or typing

Position requires schedule flexibility to work evenings and weekends as needed.

This position requires up to 10% travel.

Position Type

This is a full-time position.

Other

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity and/or expression, status as a veteran, and basis of disability or any other federal, state or local protected class.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.