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Apogem Capital · 14 hours ago

Financial Controls Unit Lead

New York, NY

Full-time

Hybrid

Mid, Senior Level

$95K/yr - $135K/yr

4+ years exp

Apogem Capital is seeking a Financial Controls Unit Lead to join their Corporate Finance team. The role involves ensuring compliance with internal control standards over financial reporting and executing the MAR/SOX program while collaborating with various business units to enhance financial governance.

Financial Services

Responsibilities

Support the on-going development and maintenance of the NYL MAR/SOX Program governance, policies, standards and procedures

Support the Financial Controls Unit (FCU) Manager to execute the day-to-day activities of the MAR/SOX program

Responsible for the execution of the testing program for all business process, IT general controls, application controls, end user computing, and third-party service provider controls that impact financial reporting

Support the FCU Manager with materiality and scoping of all business process and IT general controls that impact financial reporting

Work with process and control owners to develop remediation strategies to address deficiencies in internal control over financial reporting

Responsible for the evaluation of system implementation and conversions impact on internal control over financial reporting to determine key controls have been designed and subjected to implementation (user acceptance) testing prior to go-live

Responsible for the evaluation for testing source data (e.g., extract files, control reports, etc.) used in the execution of controls to ensure completeness and accuracy

Collaborate with business units to assess consistency of the application of MAR/SOX Program requirements

Assist with developing and contributing to the tools that support the MAR/SOX Program (SharePoint, Auditboard, etc.)

Assist with the development and compilation of executive level presentations on the state of internal control over financial reporting for the MAR/SOX Program

Support the development, maintenance and delivery of MAR/SOX Program training curriculum

Support coordination with internal/external risk and control functions (e.g., Risk Management, Corporate Audit, Corporate Compliance, external auditor) to improve integration of governance, risk and compliance functions

Act as liaison with Corporate Audit, external auditor and state regulators for internal control over financial reporting issues

Proactively collaborate with the first, second and third lines of defense to drive awareness, accountability and additional oversight in the implementation and ongoing effectiveness of internal control over financial reporting

Proactively participate in various risks and controls committees and/or working groups of NYL as assigned

Qualification

Internal control oversightFinancial reporting complianceService Organization Control reportsBig four experienceCPACIA certificationInsuranceActuarial knowledgeMicrosoft Excel proficiencySharePoint proficiencyMicrosoft Word proficiencyMicrosoft Access proficiencyMicrosoft Visio proficiencyMicrosoft PowerPoint proficiencyLeadership skillsCommunication skillsTeam oriented

Required

Bachelor's Degree with emphasis or concentration in Accounting, Finance

Minimum of 4 years of experience in roles with major responsibilities for oversight of and/or testing internal control over financial reporting is required

Basic knowledge of Service Organization Control reports (e.g., SOC1s) is required

Big four experience is required

Demonstrated leadership and ability to manage and supervise staff/consultants in a highly productive environment

Strong oral and written communication skills. Must be able to effectively communicate with various levels of management, internal customers and auditors

Team oriented. Ability to work in a fast-paced environment and shift priorities as necessary

Proficient in Microsoft Excel, Word, Access, Visio, Power Point and SharePoint is required