Senior Internal Controls Analyst
Charlotte , North Carolina
April 18, 2017
Job Description



Since 1918, it has been TIAA’s mission to serve, our ability to perform and the values we embrace that make us a different kind of financial services organization. We’re dedicated to serving the financial needs of those in the academic, medical, cultural, governmental and research fields, and committed to helping make lifetime financial well-being possible for them.


By building a culture that allows all employees to contribute their unique talents and skills, we’re able to provide our customers with fresh ideas and distinct perspectives to help them achieve their goals.  We believe a diverse and inclusive workforce is one of our greatest strengths and a key measure of our success*.


For more information about TIAA, visit our website.




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.



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

   FDICIA/SOX documentation.

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.

Management/Leadership Responsibility:

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.

Problem Solving:

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.

Functional Knowledge:

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.

Interactions/Interpersonal Skills:

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: 



Required Education: BA/BS, Accounting or related field

Preferred Education:  BA/BS


Required Experience:  5-10 years

o ITGC auditing experience

o Must understand internal control and audit testing methodology, knowledge of

   auditing guidance and principles.

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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We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.


*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017 C23921

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