Risk Control Analyst

2 weeks ago

Phoenix, Arizona, United States TEKsystems Full time
Job Overview

The Risk Control Analyst plays a crucial role in evaluating the effectiveness of controls across various risk domains, including operations, finance, regulatory compliance, technology, mergers and acquisitions, and clearing processes.

Key Responsibilities:
  • Conducts assessments of control quality across all risk areas.
  • Develops, plans, and assesses internal audit programs for financial records, technology systems, and departmental activities to ensure adherence to established policies and standards.
  • Ensures internal controls align with corporate objectives and comply with relevant regulations, such as the Sarbanes-Oxley Act (SOX).
  • Performs audits on information systems and applications.
  • Prepares comprehensive reports for management detailing audit findings and providing actionable recommendations for enhancements.
Position Duties:
  • Documents initial audit findings regarding control quality across risk-prone areas.
  • Engages in routine tasks with some multitasking on specific projects.
  • Collaborates in planning, interviewing, and evaluating controls and procedures alongside a senior auditor.
  • Tests controls and procedures under the guidance of a senior auditor.
  • Contributes to discussions aimed at developing effective control recommendations.
  • Reports preliminary findings and drafts sections of internal audit recommendations.
Qualifications:

Education: Bachelor’s Degree in Business Administration or a related field, such as Computer Science or Information Systems. An advanced degree is preferred.

Experience: 1 to 2 years in a relevant field.

Certifications: Professional auditing certifications and proficiency in server management, operating systems, and databases.

Core Competencies:

The ideal candidate should possess a foundational understanding of theories, practices, and procedures within the auditing discipline. Initial guidance is required for task execution, and supervision is necessary for more complex activities. The candidate will work within a defined area of responsibility, which will expand as they gain confidence and capability.

Demonstrates general business knowledge acquired through education or prior experience. The candidate may require assistance in grasping the commercial aspects or key business drivers influencing decisions. There are no supervisory responsibilities; however, the candidate is accountable for their technical contributions.

Utilizes established procedures to address standard problems, analyzes information, and applies standard practices to make informed judgments. The candidate's impact is primarily limited to their work team, operating within standardized procedures to achieve objectives and meet deadlines as outlined by their supervisor.

Control Advocacy:

The Risk Control Analyst is expected to recognize control and exposure issues promptly and notify the team accordingly. They will research audit information and prepare preliminary reports with findings, providing input to control plans while adhering to deadlines and managing competing priorities.

As part of their routine responsibilities, the candidate will acquire knowledge of systems and databases, conduct quality checks on data, and prepare preliminary reports and analyses for supervisor review. They will also learn to identify discrepancies between work products and supporting analyses, developing an understanding of control and processing risks throughout the audit process.

The candidate will gain awareness of fundamental definitions, rules, and techniques related to risk management, applying basic functional and technical knowledge in line with organizational and IT standards when executing their tasks. They will seek opportunities to enhance their functional skills and technical expertise, gathering feedback from senior associates to foster their professional growth.

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