Risk & Controls Associate

Principal Responsibilities

• Maintain the inventory of internal controls and assist control owners in their knowledge and understanding of the controls they own
• Support the design and documentation of controls and where appropriate framework, policy, and process documentation to support those controls
• Coordinate the annual risk assessment process and assist management in identifying and mitigating risks
• Assist with holistic risk quantification and mitigation efforts across business units
• Develop internal audit scope and audit plans
• Acquire, analyze, and evaluate documentation to execute audit plans
• Prepare and present reports that reflect audit results
• Maintain open communication with teams and leadership across the organization
• Manage the relationship with the external auditors
• Project manage the external audits across multiple regulatory regimes including the audit preparation process and communication between auditors and control owners
• Actively identify areas to improve operations and independently handle broad-scope projects

Qualifications

• Bachelor's degree in Business, Finance, Accounting, or related field, or equivalent experience
• 3+ years of work experience in an audit, advisory consulting, or risk management role
• Experience designing, testing, implementing internal controls and reviewing business processes
• Ability to interact with all levels, set objectives, and create results
• Ability to navigate through ambiguity
• Ability to manage and coordinate multiple project assignments simultaneously in a fast-paced environment
• Ability and willingness to take initiative to address problems and make continuous process improvements
• Excellent communication skills, with the ability to work with a wide variety of stakeholders

Preferred Qualifications

• CPA, CA, CIA, or related experience
• Knowledge of broker-dealer compliance requirements, including SEC Rule 17a-5
• Knowledge of NAIC Model Law on Suitability in Annuity Transactions
• Knowledge of the AICPA Trust Services Criteria for SOC 2 Examinations

Compensation

Base Salary Range: $88,300 - $115,900 plus bonus