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The primary responsibilities of this position are:
1. Interface and coordinate SOX Information Technology General Controls
(ITGC) testing with Internal Audit-IT who performs the SOX ITGC testing,
PwC and business owners.
2. Assist with the FDICIA/SOX assessment for Trust – FSB.
3. Responsible for providing guidance to businesses on SOC-1 report reviews
and performing oversight testing.
KEY RESPONSIBILITIES AND DUTIES:
o Partner with Internal Audit-IT, Information Technology, business owners and
PwC on SOX ITGC testing.
o Provide subject matter expertise on ITGC for ICU.
o Analyze Trust-FSB significant processes and validate the key risks and key
controls have been identified and there are no gaps.
o Assist in Trust-FSB design meetings and control walkthroughs to evaluate and
document design effectiveness of the key controls.
o Responsible for updating Trust-FSB test plans and testing and reviewing the
operating effectiveness of key controls at interim, year-end and remediation
o Coordinate Trust-FSB test samples and meetings with external and internal
auditors to minimize duplicate work on the business areas and ensure the
external auditors have what they need to complete their testing.
o Responsible for identifying control deficiencies and communicating the
deficiency to the Trust – FSB Controller and the business areas. This includes
drafting the issue document.
o Use Financial Control Management tool (FCM) to maintain the completed
o Provide guidance to businesses on review of SOC-1 reports.
o Perform oversight testing on adequacy of businesses’ review of SOX-1
o Ability to develop and maintain good working relationships with business
owners, internal and external auditors, ICU PMO and others.
This person will not manage any direct reports, but will have to interface and work with people at all levels in the company.
Nature of Impact-
This job plays a critical role in the SOX Information Technology General Controls (ITGC) testing. This person will interface and coordinate ITGC testing with Internal Audit-IT who performs the SOX ITGC testing, PwC and business owners. Also this person will play an important role in assisting with the Trust – FSB’s FDICIA compliance efforts. In addition, the test work gives management and the external auditors comfort that key controls over financial reporting are present and functioning properly.
Area of Impact-
This role impacts the ICU team, Trust – FSB, IT, F&A business unit and entire company.
Must have the ability to think critically and apply judgment in evaluating processes, risks and controls. Need to have strong analytical skills to evaluate and test process and control effectiveness.
Must understand internal control and audit testing methodology, knowledge of accounting and auditing guidance and principles, ITGC, banking/financial accounting and reporting (GAAP, FDICIA).
Business or Industry Expertise:
Understanding of F&A and IT within TIAA and Trust - FSB a plus; Business Experience of other Banking and Financial Services organizations a plus.
Interpersonal skills will be critical in this role. Must be able to interact with all levels of individuals in business areas across the organization. Ideal candidate will be effective at communicating and building relationships across Trust – FSB, IT, other business areas, ICU PMO, external audit, and internal audit.
Job Requirements And Qualifications: Indicate the minimum and preferred education and experience for the job and any licenses and certifications required.
Required Education: BA/BS, Accounting or related field
Preferred Education: BA/BS
Required Experience: 5-10 years
o Subject matter expertise on ITGC testing.
o Must understand internal control and audit testing methodology, knowledge of
accounting and auditing guidance and principles.
o Familiarity with bank financial statements (Call Report) and Trust
o Excellent research, analytical, communication and organizational skills
o Works independently as well as a team.
o Strong written and verbal communication skills.
Preferred Experience: 5-10 years of Public accounting or internal audit/controls experience; ITGC experience; Banking/Financial Services experience a plus.
Skills and Abilities: Interpersonal skills, communication skills, strong analytical and organization skills, ability to multitask and manage workload, work independently as well as part of a team.
Required Licenses/Certifications: CPA, CIA or CISA or candidate preferred.
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