The Program Governance Manager is responsible for assisting with governance and oversight of enterprise-wide internal control programs over SOX and Regulatory Reporting to mitigate the risk of material omissions, errors or weaknesses in internal controls. This includes assisting with:
- Research and maintenance of enterprise-wide program requirements for SOX and Regulatory Reporting (Policies, Standards and Guidelines) including: the assessment of materiality; scoping and application of materiality to determine in-scope areas; requirements for the internal control inventories and risk assessments; and the process for evaluating internal control findings for proper escalation and reporting.
- Working directly with the lines of business to complete SOX tollgates and ensuring documentation is accurate and robust
- Training and support for business partners on requirements
- Monitoring adherence to requirements
- Assessing and documenting internal control weaknesses for SOX and Regulatory Reporting
- Preparing executive and board level materials on program status and finding
- Partnering with external and internal auditors to drive the soundness and successfully execution of internal control programs
- Staying current on new technical literature applicable to all programs (e.g., PCAOB guidance, SEC, FRB requirements related to FR Y-14 reporting, etc.)
The position reports directly to the Financial & Regulatory Reporting Controls Executive in the Financial Control Oversight (FCO) organization.
About the Financial & Regulatory Reporting Controls - Program Governance
The Financial & Regulatory Reporting Controls - Program Governance team is responsible for:
- Developing and maintaining enterprise-wide policies, procedures, standards and training for SOX Compliance and Internal Control requirements for US Federal Reserve Bank filing for Capital & Stress Testing (FR Y-14 A/Q/M reports) in support of CFO Attestation.
- Deploying consistent guidelines for assessment of materiality; applying materiality to regulatory reports to determine in-scope areas; performing risk assessments and gap analysis with partners and prioritizing gap closure; consulting and advising senior management on execution of regulatory reporting within the internal control framework; evaluation of internal control findings and data errors or omissions for proper escalation and reporting, etc.
- Driving compliance to requirements and continuous process improvement by influencing and partnering with enterprise wide partners and executives including Global Financial Control, Centralized Regulatory Reporting, Enterprise Stress Testing, Enterprise Data Management, Balance Sheet Capital Management, Corporate Audit, Finance, Compliance, Operational Risk and others.
- Supporting other teams within FCO by providing subject matter expertise on internal controls
- Developing and presenting materials on the status and results of the program to senior executives across the company including councils and committees charged with oversight responsibilities.
- Bachelor's degree or equivalent (Accounting and/or Finance strongly preferred)
- 8+ years of relevant audit, risk or compliance control experience, specifically in areas of accounting, finance, regulatory reporting or SOX internal controls
- Experience with SOX compliance and knowledge of legal, regulatory and industry requirements
- Strong relationship management skills
- Proven ability to manage multiple and often competing priorities
- Strong executor that is able to drive progress on priorities and issues
- Ability to communicate in a clear and concise manner
- Graduate degree and CPA designation
- Strong MS PowerPoint skill
This role is posted as a Sr Project Cons- Fin Solutions, but can be filled as a Project Manager- Finance Solutions based on qualifications of a strong Project Manager- Finance Solutions applicant. .
1st shift (United States of America)
Hours Per Week:
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