SOX Compliance and Controls Specialist

Pittsburgh, Pennsylvania 15258 | contract

Post Date: 02/06/2018 Job ID: 15716
SOX Compliance and Controls Specialist

Pay Rate:  $64/hr

The successful candidate will have broad and deep understanding of the Federal Reserve’s BCC 13-3 Guidance for Independent Verification of a Banking Organization's Advanced Approaches System, and the related U.S. Final Rule to which it applies. The candidate will also demonstrate rich experience with Advanced Internal Ratings-Based (AIRB) systems and in working with framework component owners, senior management, internal audit, and regulators.

Essential Duties
  • Responsible for executing rigorous verification and testing of processes and controls. Independently assess, through verification and testing, the internal control framework to ensure that all internal systems supporting compliance with the rule are properly designed, documented, and working as intended.
  • Assess compliance with the Federal Reserve Board's advanced approaches risk-based capital rule.
  • Identify control gaps related to the framework components through verification and testing.
  • Engage with various risk and finance functions, senior management, and risk committees, and present verification and testing results.
  • Handle extensive, high-profile work individually.
  • Document testing results in the online work paper tool, and draft findings for reporting to management.

  • Bachelor's Degree required in Accounting / Finance; Master’s Degree preferred.
  • At least 7 years of experience in a control, review, or compliance area in a large or complex financial institution.
  • Risk, credit, or capital management experience preferred.
  • Broad and deep understanding of the U.S. Basel Final Rule and Federal Reserve BCC 13-3 guidance regarding Independent Verification.
  • • Knowledge of, or experience with AIRB systems, as well as counterparty credit, wholesale credit, securitizations, and equity exposures.
    • Understanding of risk-weighted assets (RWA) calculations and regulatory reporting.
  • Audit experience, especially the ability to think critically and independently and to express verification results clearly and concisely in written reports and presentations.
  • Ability to understand and organize large amounts of information.
  • Proficiency in Excel, Access, Visio, and PowerPoint.

SOX Compliance and Controls Specialist - 15716

Victoria Birchok

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