Lead Financial Controls Analyst

Responsibilities

• Consult with the line of business and enterprise functions on financial reporting, information technology governance, and control oversight matters
• Identify compliance and risk management requirements and work with stakeholders to implement key risk initiatives
• Lead planning and execution of IT automated control testing, including control alignment, resource coordination, and testing strategy
• Oversee execution of Test of Design (TOD) and Test of Effectiveness (TOE), ensuring completeness, accuracy, and alignment to control objectives
• Provide technical interpretation of control design, system functionality, data flows, and IT dependencies, including root cause analysis of control deficiencies
• Lead implementation of complex projects with company wide impact
• Communicate and provide consultation to leadership across the enterprise
• Lead initiatives to identify control gaps, process inefficiencies, and opportunities for automation and control optimization
• Oversee and participate in business process walkthroughs, ensuring risks, controls, and documentation are aligned
• Challenge and refine control scope and testing approach based on changes in systems, processes, or risks
• Assess impacts of system or application changes on control design and testing
• Provide process and control support for governance and oversight projects
• Collaborate with peers, colleagues, and managers to resolve issues and achieve goals
• Align with Internal Audit, external auditors, and stakeholders on testing approach, documentation, and reliance strategies
• Identify and elevate control issues, testing delays, and stakeholder risks
• Support preparation and review of control issue documentation (e.g., issue memos)
• Oversee maintenance of key control systems and trackers to ensure data accuracy and completeness
• Provide guidance and mentorship, including workpaper review and feedback to ensure audit-ready quality

• 5+ years of Finance, Accounting, Analytics, Reporting or Business and Technology Audit experience
• Experience assessing and documenting financial and/or regulatory risk and controls
• Internal controls testing experience including Business Process Automated Controls (BPACs) and/or IT General Controls (ITGC)
• Experience and understanding of SOX/COSO frameworks and regulatory agencies (Federal Reserve and OCC)
• Experience partnering with financial and IT audit teams on integrated audits
• Experience with large professional service firms
• Experience with large financial institutions
• A BS/BA degree or higher in Accounting, Information Systems, Finance, or Information Technology
• One or more of the following certifications: CISA, CPA, CIA, CRISC
• Experience with ERP systems (e.g., SAP, Oracle) and data analysis tools