Director Financial Controls Oversight

3 weeks ago

Raleigh, United States First Citizens Full time

Overview

This is a hybrid role, with the expectation that time working will regularly take place inside and outside of a company office. Financial Control Oversight is the department within Corporate Finance responsible for SOX / FDICIA compliance, including other certain financial reporting controls. The Director plans the annual process reviews for their assigned portfolio (Corporate Functions or Core Banking Functions) and oversees a global team of associates who assess process risk and determine the adequacy of design and operation effectiveness of controls. Oversees the identification, monitoring and resolution of control deficiencies, advising business owners regarding the development of adequately designed and sustainable internal controls. The Director will also support the strategic development and implementation of operational policies and procedures within Financial Control Oversight to drive comprehensive oversight of SOX and FDICIA requirements. Collaborates with the Bank's senior leadership to build and foster strategic, productive, and influential relationships ensuring alignment with departmental strategy and direction to overall goals of the Bank. Manages strong working relationships with external auditors and other controls assurance functions within the Bank to drive operational efficiencies.

Responsibilities

Project Management - Manages and drives assigned business unit reviews to ensure results meet identified timelines for the assigned portion of the annual plan. Determines appropriate scope, makes strategic decisions, and ensures there is sufficient evidence to successfully review the internal control system. Conducts special projects and performs other duties as related. Managerial Functions - Manages and directs a global team responsible for conducting various reviews for assigned Bank Divisions, ensuring compliance with Sarbanes-Oxley and FDICIA requirements. Directs short and long-term development of associates across the department. Manages the recruitment, training, and evaluation of assigned staff. Provides professional development to enhance performance. Risk Mitigation - Investigates and manages key interdependencies that impact Financial Reporting risk. Advises leadership on the appropriate resolution of identified deficiencies and provides insights that allows for revision to the annual plan. Business Strategy - Establishes scope and strategy for each process review. Analyzes business processes to identify efficiencies, key objectives, and optimal level of control/risks. Utilizes external networks and other resources to keep current on and provide insight regarding assigned area of responsibility. Keeps senior leadership and staff informed of practices and regulations affecting SOX/FDICIA. Relationship Development - Builds and maintains influential relationships with multiple levels of management, external auditors, regulators, and other internal controls assurance functions. Serves on committees and liaises with key parties to represent Financial Control Oversight.

Qualifications

Bachelor's Degree and 8 years of experience in SOX, Internal auditing, or equivalent, including at least 6 years management OR High School Diploma or GED and 12 years of experience in SOX, Internal auditing, or equivalent, including at least 6 years management

Preferred Area of Experience: Banking/Financial Services industry

License or Certification Type: Possess designation as Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Public Accountant (CPA) or other relevant industry certifications. Required

Skill(s): In depth understanding of assigned bank processes at the Commercial and/or Consumer Bank., Knowledge of Generally Accepted Accounting Principles (GAAP), SEC Rules and SOX / FDICIA, Ability to anticipate future risks and trends, and evaluate alternative strategies, Ability to demonstrate courage and objectivity when communicating with executive and senior leadership when presenting complex issues, recommendations, and opinions #J-18808-Ljbffr

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