Financial Controls Analyst II-Lead

FIRST GUARANTY BANK Hammond, LA HR determined

Plays 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..


Essential Duties and Responsibilities

 Key resource/point person for management involved in Sox Compliance and certification.

  1. Assist with risk based scoping, mapping, documentation, control evaluations\testing, gap remediation and participate in quarterly certifications.
  2. 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.
  3. 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.
  4. 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 Technology/Security.
  5. Maintain Sox repository, work to enhance tools and process documentation, validation of testing and remediation documentation if others perform testing.
  6. Drive qualitative improvements in controls to become more efficient and effective and to reduce/eliminate control deficiencies.
  7. Review and sample testing of select IT controls.
  8. Stay abreast of changes in regulations regarding external financial and regulatory reporting to ensure the organization's timely compliance.
  9. Provide assistance with coordinating external audits.
  10. Assist with special projects as necessary.
  11. Adheres to the BSA Policy and all other Bank Policies.
  12. Other duties and responsibilities as may be assigned by supervisor.

Minimum Qualifications (Education, Experience, Skills)

·         Bachelor's 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.

·         Excellent written and verbal communication skills, required

  • Use 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' views.
  • Required to work Seasonal overtime.
  • 40 hours of banking and/or internal audit related training.

FIRST GUARANTY BANK is an EEO employer - M/F/Vets/Disabled
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