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Compliance Analyst

4 months ago

Morristown, United States Insight Global Full time

Exact compensation may vary based on several factors, including skills, experience, and education.

Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.


Position Summary

The primary responsibility for the IT Compliance Analyst position will be support of the internal Sarbanes-Oxley (SOX) testing and compliance. The position will be responsible for the testing of internal controls, gathering documentation or evidence, and documenting the test results. The position will participate as needed with information sharing/gathering process for other audits/reviews, such as external SOX audits, internal audits and state insurance department reviews. The IT Compliance Analyst will be responsible for reviewing, developing, and/or maintaining IT Compliance standards and procedure documentation for business units. The position will utilize knowledge of Sarbanes-Oxley requirements and the COBIT framework to perform audits/reviews. Upon completion of reviews, this position will make recommendations or be directly involved with addressing gaps or developing remediation plans/steps.Secondary responsibilities will include user and technical support of desktop applications.

Primary Duties & Responsibilities:

  • Assist in the research and development of IT Compliance standards and guidelines.
  • Test operational effectiveness of key controls using a variety of approaches, including sampling, corroboration, observation, performance.
  • Documenting Sarbanes-Oxley testing results and/or findings, including the gathering and organizing of documentation or evidence collected.
  • Reporting issues or deficiencies found during testing and tracking the associated remediation plans across companies and/or departments.
  • Streamline the audit processes, including internal and external Audits, and other needs to ensure efficiency while ensuring compliance with all Local, State and Federal guidelines.
  • Performing reviews of related IT Compliance documentation, procedures and controls, including creating work papers and making recommendations for remediation.
  • Ensuring that issues and findings across all compliance related activities are documented and tracked for remediation, with direct involvement by either facilitation of discussions, or by being directly involved in the process.
  • Coordinating any external audits to facilitate the process of gathering any requested information and/or documentation.
  • Perform user access certifications for various internal applications.
  • Working both independently and across teams, or across entities, to collect or distribute important information on processes, procedures, guidelines, etc.
  • Serve as a subject matter expert on key internal controls, procedures, and workflows.
  • Technical application support, including user administration, troubleshooting reported issues, application and server maintenance (patches, restarts), and database updates/maintenance.

Minimum Qualifications:

  • 2 - 5 years’ experience participating in testing of SOX IT General Control and/or IT Compliance standards.
  • Working knowledge and understanding of Sarbanes-Oxley compliance, including IT General Controls and Application controls, preferably within the commercial property and casualty lines.
  • Working knowledge and understanding of COBIT framework.Proven ability to apply toward internal IT controls for the purposes of Sarbanes-Oxley or IT compliance activities is a strong plus.
  • Hands-on experience with Sarbanes-Oxley or Compliance testing, including the development of remediation activities or steps.
  • Proven ability to prioritize work load, work effectively on concurrent tasks, and be able to meet project deadlines.
  • Proven ability to facilitate meetings or discussions with internal and external personnel to determine action items and completion dates.
  • Software Development Life Cycle experience.
  • Strong computer skills, including Microsoft Word, Excel, and Outlook.
  • Strong technical and analytic aptitude.
  • Ability and willingness to learn quickly.
  • Extremely detail oriented, organized and advanced planning skills.
  • Excellent oral and written communication skills to effectively communicate with both internal team and external contacts.
  • Bachelor’s degree with emphasis in related field or equivalent experience.

Working Conditions and Physical Requirements:

  • Ability to sit at a desk and work on a computer for extended periods of time.
  • May occasionally lift and/or move up to 10 pounds.

Vision abilities required by this job include close vision and ability to adjust focus