Job Description
Job Description Senior Analyst, Risk and SOX Compliance Position Summary Reporting to the Director, SOX Compliance, this position is responsible for supporting successful implementation of internal controls over financial reporting (ICFR) frameworks and execution of the ICFR testing plan to ensure compliance with Sarbanes-Oxley (SOX) requirements. It includes assessing the efficiency and effectiveness of operations, evaluating findings, and providing recommendations, performing data analytics, and reporting results. The role includes supporting various other risk management activities including insurance. This role works closely with functional business teams across the organization. Responsibilities Coordinate with and support our in-house team, various portfolio company teams and service providers Perform management testing for SOX engagements based in North America and prepare working papers in accordance with SOX and audit standards and internal audit procedures Planning and executing controls testing for assessing the design and operating effectiveness of internal controls, including coordinating work with the internal controls team, internal stakeholders, external auditors and other third parties Support and collaborate with stakeholders across various operating businesses to ensure the SOX program is being executed in accordance with the company’s plan Evaluate severity of deficiencies, identify root causes, and develop clear, concise, practical recommendations and ensure timely remediation Review and update internal controls documentation as needed (risk-control matrices, narratives, flowcharts, and testing plans) Assist with monitoring and supporting the optimization of critical business processes and procedures Provide advice and recommendations as necessary to strengthen and optimize internal controls Support new acquisitions through identifying gaps, implementing control frameworks and assessing the design and operating effectiveness of internal controls Requirements Strong knowledge of SOX requirements and experience assessing the design and operating effectiveness of internal controls; Big 4 experience is an asset Experience managing business process testing with a good understanding of ITGC’s and application controls Strong verbal and written communication and presentation skills Strong influencing skills: ability to present points of view effectively and gain support for their position Experience working with growing organizations with changing needs and multiple complex business transactions Experience working with insurance organizations is considered an asset Able to work and travel between Canada and US (~15-20% travel) Qualifications Bachelor’s degree (or equivalent), Accounting and Auditing designations (CPA, CA, CIA or equivalent), with at least 3-5 years of experience in accounting, integrated auditing, internal controls and/or financial processes and reporting Demonstrated and proven project management or coordination skills Strategic thinker with strong analytical skills and problem-solving ability Self-motivated and proactive, with respect to both managing workload and professional development Demonstrated and proven ability to work effectively in a team environment and maintain positive interpersonal relationships. Knowledge of data-based auditing techniques (including use of CAATs and sampling methods) Knowledge of US GAAP, International Financial Reporting Standards (“IFRS”), SOX regulatory requirements is an asset