Senior Executive - Controls and Compliance

9 Months ago • 4-8 Years

Quality Assurance

Operations

Job Description

The Senior Executive - Controls and Compliance will be responsible for ensuring SOX 404 compliance across all business segments. This includes conducting comprehensive testing of IT General Computer Controls (ITGCs), focusing on areas such as access control, change management, program development, and computer operations. The role requires standardizing internal control processes, enhancing documentation and testing procedures, and managing SOX processes and testing efforts. Responsibilities also encompass testing key financial and IT reports, automated application controls (AACs), and spreadsheets. Collaboration with business units is crucial for documenting applications, identifying key controls, developing test plans, and remediating control deficiencies. The role involves identifying process improvement opportunities and supporting managers in special projects. A deep understanding of business processes and internal controls is essential for evaluation and improvement.

Must Have:

SOX 404 Compliance expertise
ITGC testing experience
Internal control documentation and testing
Collaboration and partnership with business units
Process improvement and evaluation

Job Summary:

SOX 404 Compliance: Conduct comprehensive testing of IT General Computer Controls (ITGCs) across all business segments, with particular emphasis on areas such as Access to Program and Data, Change Management, Program Development, and Computer Operations.
Standardization and Enhancement: Drive the standardization of existing internal control processes, enhance internal control documentation and testing procedures, and effectively coordinate and manage SOX processes and testing efforts in collaboration with management.
Key Report (IPE) and Automated Application Controls: Perform testing to cover key financial and IT reports, Automated Application Controls (AACs), and spreadsheets across all business segments.
Collaboration and Partnership: Partner with business units on various SOX 404-related initiatives, including the documentation of in-scope applications, systems, and databases, identification of key controls, development of test plans, and the remediation of control deficiencies.
Continuous Improvement: Identify gaps and areas for process improvement, evaluate their significance, and assess potential business impacts to enhance process effectiveness.
Special Projects: Support Managers in special projects, which may encompass business process-related endeavors.
Process Collaboration: Collaborate with business units to gain a deeper understanding of their processes and internal controls, with a focus on evaluation and improvement.