Financial Risk & Controls Manager

SUMMARY

The Financial Risk & Controls Manager is responsible for supporting the Bank's Sarbanes-Oxley (SOX) compliance program by assisting with the design, documentation, testing, and monitoring of internal controls over financial reporting (ICFR). Further, coordinates Control Process Owner certifications, participates in all SOX walk-throughs, oversees testing activities with the assigned 404 control testing team (external or internal resources), tracks completion of control test work, and summarizes results of such in coordination with the SOX Program Director.

This role works closely with the SOX Program Director, business process owners, Internal Audit, Bank United Risk functions, and external auditors to help ensure compliance with SOX requirements, promote strong internal controls, and support timely and accurate financial reporting.

include the following. Other duties and special projects may be assigned.

• Supports the completion of key entity-level assessments, such as SOX GL Risk Assessments, SOX ELC RCM process, SOX Fraud Risk Assessment in compliance with adequate scoping and COSO
  2013 standards.
• Supports planning activities under the direction of the SOX Program Director.
• Oversees testing activities of the assigned 404 control testing team (external or internal resources) and tracks completion of control test work in accordance with established methodologies and timelines.
• Supports the documentation and analysis of SOX control observations, including root cause analysis and significance assessments for deficiencies and remediation plans.
• Identifies, designs, and documents new internal controls required to mitigate financial reporting risk (as applicable and necessary).

• Maintains SOX documentation, including process narratives, risk and control matrices (RCMs), and testing evidence.
• Coordinates updates to documentation for process or system changes.
• Ensures proper version control, organization, and retention of SOX-related artifacts.

• Serves as a liaison between business process owners, SOX team, and external auditors for SOX-related requests.
• Assists with responding to audit inquiries, walkthrough requests, and evidence requests, as needed.
• Helps ensure timely resolution of audit comments and findings.

• Identifies opportunities to strengthen internal controls, improve efficiency, and reduce SOX compliance risk.
• Supports control design and remediation efforts in partnership with process owners.
• Assists with evaluating the SOX impact of new systems, process changes, and initiatives.

• Prepares SOX status reports, metrics, and dashboards for management.
• Supports SOX governance activities, including materials for ICFR Steering Committee meetings, calendars, and compliance tracking.
• Adheres to SOX requirements.
• Adheres to and complies with applicable, federal and state laws, regulations and guidance, including those related to anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.).
• Adheres to Bank policies and procedures and completes required training.
• Identifies and reports suspicious activity.

Bachelor's Degree in Accounting, Finance, Business Administration, or a related field required.

• 4 - 8 years of experience in SOX compliance, internal audit, public accounting, or a related control-focused role required.
• Experience with internal controls over financial reporting (ICFR) required.
• Experience in banking or financial services preferred.
• Familiarity with SOX documentation standards (narratives, RCMs, flowcharts) required.
• Experience coordinating with auditors and business stakeholders preferred.

• CPA, CIA, CISA, or progress toward certification preferred.

• Strong analytical, organizational, and documentation skills, required.
• Proficiency with Microsoft Excel, Word, and Outlook, required.

• Candidates residing in locations within Bank United's footprint may be given preference.

Bank United is an Equal Opportunity Employer. Bank United does not discriminate against individuals on the basis of race, creed, color, gender, religion, national origin, age, disability, veteran status, pregnancy, marital status, citizenship status, sexual orientation, gender identity, genetic information, or any other classification protected by applicable laws.