Senior Business Risk Officer – SOX

Senior Business Risk Officer – SOX

This role offers a salary of $140-170K, plus a 25% bonus and 10% profit sharing. Additional benefits include unlimited PTO days, a 15% discounted employee stock purchase program, and a friendly, collaborative culture with top-notch work-life balance and minimal travel.

The Senior Business Risk Officer – SOX will establish a control environment for the Loan Administration business unit, supporting SOX and regulatory requirements. This involves leveraging expertise to support management with controls-related activities, representing Loan Administration as the key interface with other risk programs and auditors, and developing a new control framework.

• Develop a new control framework in Loan Administration and partner with 2nd line Credit Administration to transition controls to the 1st Lines of Defense
• Perform risk assessments and identify key risks with credit risk managers and senior credit officers
• Design efficient controls that address SOX and other control requirements with control owners
• Perform control activities to mitigate key risks
• Develop a cadence for program activities such as risk assessment, SOX walkthroughs, control execution, and quarterly controls testing
• Coordinate, update, and maintain SOX-related artifacts
• Lead walkthroughs and prepare process/control owners to present their process and controls effectively
• Assess control issues and partner with business owners to develop correction plans
• Prepare deficiency evaluations and SAB 108 accounting memos as needed
• Interface with second line Credit Administration and other constituents to provide updates on control development and execution
• Propose changes to processes and controls to address dynamic growth and new risks
• Support training and competence activities for colleagues within Loan Administration
• Support management in delivering and embedding good risk culture

• Bachelor’s Degree in management, finance, economics, or a related field, or equivalent experience
• Experience with internal controls, including process control design, preparation of flowcharts & control matrices, documentation and testing of controls, and identification and reporting of control gaps
• 7+ years working in the financial services industry
• Experience in SOX, risks, business controls, or compliance management preferred
• Progressive experience in public and/or internal audit experience with a background in financial services is highly desirable
• Large Financial Institution experience is a plus, but not required

• Ability to independently manage complex tasks
• Strong SOX technical skills
• Strong communication skills, both verbal and written
• Ability to influence, negotiate, and persuade peers, colleagues, and managers
• Self-starter who proactively reaches out as needed
• Ability to work tight timelines and manage multiple competing priorities while delivering sound results

We are an equal opportunities employer and welcome applications from all qualified candidates.