Internal Controls & Compliance Leader

Summary

Title:Internal Controls & Compliance Leader

ID:1527

Location:N/A

Department:Finance

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Description

The Internal Controls and Compliance Leader is responsible for developing and maintaining the company-wide internal controls and ensuring compliance. This individual leads the overall direction and leadership of the internal controls and compliance function and plans and conducts operational, financial and compliance audits to evaluate the effectiveness of internal controls and organizational risk.

The Internal Controls and Compliance Leader supports the Board of Directors and senior firm leadership in fulfilling their oversight roles by providing independent assessments of the firm’s risk management and internal control environment, and by providing advice to management in developing control solutions.

The Internal Controls and Compliance Leader will work closely with the CAO, process owners and other stakeholders in support of the company’s internal controls by performing the following duties:

Essential Duties and Responsibilities:

• Develop the overall audit strategy to support the company’s objectives and governance policies and develop the annual audit plan.

• Understand the risk profile of the company and develop and maintain the internal controls for subsidiaries, including tracking audit findings through remediation.

• Drive the execution of risk-based audit plans, and conduct audits to assess controls, operational efficiencies and compliance with selected policies, procedures, and regulations.

• Communicate findings in a timely manner, obtaining business partner agreement on root cause of issues and commitment to implement recommendations and/or remediation plans.

• Drive effective communication with executive management on the status of the annual audit plan, emerging risks, and leading business practices.

• Provide an independent appraisal of controls over financial integrity, operational effectiveness, and compliance with laws, regulations, and policies.

• Ensure the Internal Audit department has an effective relationship with the external auditor so that the external audit efforts are timely and efficient and that deliverables from internal audit meet their deadlines and expectations.

• Communicate annually on risk management and risks factors in the annual report.

• Responsible of the Enterprise risk assessment and management

• Oversee the development and execution of the company’s internal controls while ensuring compliance with regulatory rules and deadlines.

• Coordinate with IT leadership on the design, implementation and evaluation of IT general and automated system controls and configurations.

Requirements & Qualifications:

• Bachelor's degree in Accounting or Finance from four-year college or university

• One or more professional certifications – Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or Certified Information Systems Auditor (CISA)

• Minimum of 10 years in public accounting/advisory experience with emphasis on risk and compliance consulting related to internal controls

• Exceptional people, project, and client management skills

• written and verbal communication skills and the ability to adapt communication and responses as needed based upon various situations

• Ability to translate complex issues into simple and easy to understand terms

• Experience with internal controls and compliance consulting a plus

• Detail oriented

• Ability to manage multiple projects and timelines; the ability to work well with all levels of management.