a lead role in the execution and remediation of testing key controls assessment
in accordance with Section 404 of the Sarbanes-Oxley Act and FDICIA as it
applies to part 363. Responsible for
coordinating efforts of key controls testing and serves as a subject matter
expert to management. Assist with
scoping the testing of controls to sufficiently support management's annual
internal controls assessment and certification.
Monitor the design and operating effectiveness of internal controls over
financial reporting which could significantly impact its accuracy and reliability
by the banks stakeholders and constituents..
Duties and Responsibilities
Key resource/point person for
management involved in Sox Compliance and certification.
- Assist with risk based scoping,
mapping, documentation, control evaluations\testing, gap remediation and
participate in quarterly certifications.
- Ensure that key controls are
designed and operating effectively throughout the year. Work with
management to identify new and changed processes impacting SOX\FDICIA
compliance and ensure that new controls are identified, documented and
evaluated in a timely manner.
- Monitor overall SOX\FDICIA
deficiencies and remediation efforts and report to management throughout
the year. Propose remediation strategies and provide insight into process
improvement opportunities to management.
- Facilitate annual external
auditor review of IT and Systems controls (for SOX) and act as team
liaison with both internal and external auditors on findings/issues
related to internal controls over Systems and Information
- Maintain Sox repository, work to
enhance tools and process documentation, validation of testing and
remediation documentation if others perform testing.
- Drive qualitative improvements in
controls to become more efficient and effective and to reduce/eliminate
- Review and sample testing of
select IT controls.
- Stay abreast of changes in
regulations regarding external financial and regulatory reporting to
ensure the organization's timely compliance.
- Provide assistance with
coordinating external audits.
- Assist with special projects as
- Adheres to the BSA Policy and all
other Bank Policies.
duties and responsibilities as may be assigned by supervisor.
(Education, Experience, Skills)
degree in Accounting, Finance, Business or a related field as deemed necessary
by department management is required.
- Three to five years of financial audit
and/or financial services specifically related to General ledger
Accounting, Financial Reporting, Information Systems, or other key
transaction cycles are required. Sarbanes Oxley and Financial Services
experience is preferred.
- Maintains approved certification
such as CIA, CPA, CISA, CFSA, ICBA or advanced degree (e.g. MBA) is
preferred. Candidate should be
pursuing approved certification in the absence of one of the foregoing.
written and verbal communication skills, required
technology to continually learn, share knowledge with team members, and
enhance service delivery. Maintain an educational program to continually
develop skills and Stay informed of current business/economic developments
relevant to the client's business.
- Maintain a strong client focus by
serving their needs and developing relationships with them.
- Incumbent must maintain complete
confidentiality of information encountered.
- Foster an
efficient, innovative, and team-oriented work environment. Contribute
ideas/opinions to the audit team and listen/respond to other team members'
to work Seasonal
hours of banking and/or internal audit related training.
FIRST GUARANTY BANK is an EEO employer - M/F/Vets/Disabled