Financial Compliance Analyst II

Job Summary:
The Financial Compliance Analyst II plays a critical role in supporting core program operations, assessing and responding to risks, and working directly with many key stakeholders. Leverages experiences and skills to help ensure the SOX program maintains pace with a rapidly evolving business environment and helps continuously improve the program. 

Responsibilities:
Builds a strong understanding of the business in order to evaluate processes, identify risks, and design and implement effective internal controls. 

Supports annual risk assessment and scoping process.

Helps to maintain SOX documentation, including risk and control matrices, narratives, and business process flowcharts.

Performs annual reviews of key third party service providers and audit reports.

Administers the quarterly control self-assessment program.

Helps facilitate a peer testing program that supplements the control testing performed by management testing team.

Supports and coordinates aspects of control testing performed by management testing, internal audit, and external auditors.

Assists in innovating the use of the SOX compliance tool, AuditBoard. Supports and leads periodic issue and status communications. 

Performs other duties as assigned.

Additional Requirements:
• Bachelor’s degree, applicable certification or equivalent experience.
• Typically requires 2-4 years of professional experience, and general proficiency with tools, systems, and procedures required to accomplish the job.
• Travel: None
• Work Schedule: Standard Hours
 

Career Band: Professional
Jobs on this career band have a knowledge management focus and are primarily responsible for results achieved through their own work. Requires the application of theoretical knowledge, typically gained through formal education or equivalent work experience that provides knowledge of and exposure to fundamental theories, principles and concepts of a defined profession. Jobs at higher career levels may guide small teams in their area of subject matter expertise. Jobs at the at the most senior levels of this career band set disciplinary strategy within their areas of expertise.

Criteria & Management Requirements:
• Problem Solving: Solves a variety of problems that may be somewhat difficult and varied in nature. Consults with staff members on more complex issues.
• Decisions: Exercises judgment within defined parameters to make decisions on tasks with limited scope or complexity. Receives moderate level of guidance and direction on complex tasks.
• Knowledge: Working knowledge of the principles, practices and concepts within own job discipline; has broadened capability through practical experience in applying theories.
• Business Acumen: Understands key business drivers; demonstrates knowledge of the organization and processes; uses this understanding to accomplish their own work.
• Communication & Influence: Explains and simplifies complex information to others; leads the coordination of information to ensure ongoing process or program execution.
• Impact: Impact is typically limited to the department.
• Leadership: No supervisory responsibilities.

Work Environment: Typical Office

Other Work Environment Requirements: 
Typical Office: Operates in a typical office environment, routinely uses computer and other standard office equipment.

Other Physical Requirements: 
Typical Office: Generally sedentary for prolonged periods, may occasionally require ability to move about or adjust/move items weighing up to 10 lbs. in all directions; Constantly requires collaboration and the ability to communicate with others to exchange information while in a typical office setting. Collaboration is generally conducted in person unless the role has been pre-approved for remote work.

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This job description is not meant to be an all-inclusive list of duties and responsibilities, but constitutes a general definition of the position's scope and function in the company.