Vice President - Financial & Regulatory Control Program Analyst

About the position

As 2nd Line of Defense function and delegated by the Intermediate Holding Company (“IHC”) Audit Committee, Sec Corp. Board of Directors, and management, the Finance Control Group (“FCG”) is responsible for assessing an Internal Control for Financial Reporting (“ICFR”) and Internal Control over Compliance (“ICOC”) process (collectively US Broker Dealer Regulatory Controls). Main aspects of the program are to: Perform risk identification and assessment over financial statements (ICFR) and regulatory reports (ICOC) Conduct walkthrough, tests of design and tests of operating effectiveness over in-scope process and controls Conduct spot controls on a periodic basis Assess and communicate to relevant parties control exceptions and deficiencies identified during the testing Collect the relevant data and prepare presentation material to various committees, including management and Board committees Coordinate the 17a-5 Broker Dealer with external auditors serving as a key point of contact and Subject Matter Expert to help expedite the audits.

Responsibilities

• Assess the organization for internal control of the various requirements for broker-dealer specific regulatory reporting.
• Coordinate and contribute to the SEA 17a-5 and IHC ICFR FCG's control programs.
• Monitor the Control Framework to comply with U.S. local regulatory requirements.
• Coordinate with U.S. local and overseas teams to execute control programs in accordance with SEA 17a-5 and COSO requirements.
• Enhance the local regulatory control framework by assisting Broker Dealer & Global Market Operations teams to identify and document controls.
• Perform risk assessment and identify key controls in accordance with U.S. local regulatory requirements.
• Identify key processes, risks, and controls surrounding ICFR and broker-dealer regulatory reporting.
• Perform walkthroughs, review risk and control matrices, and assess control gaps.
• Coordinate with team members and contribute to tests of controls, assessing and communicating control findings.
• Identify control weaknesses/control gaps and suggest/implement solutions.
• Coordinate with Control/Process Owners and other stakeholders regarding control documentation, testing, and evaluation.
• Coordinate with external auditors for reliance programs and streamline information sharing for annual audit requirements.
• Contribute to various projects and initiatives managed by FCG, including digital/innovation workflows.
• Collect data and prepare presentation material for various committees, including management and Board committees.

Requirements

• Bachelor's degree in accounting or finance.
• 10 years of experience in public accounting; big 4 experiences in banking and capital markets; or equivalent experience in an internal control team of an international financial institution.
• Good understanding and knowledge of SEA 17a-5 and/or SOX requirements.
• Solid understanding of Global markets activities, including financial instruments.
• Strong organizational skills, rigorous, and self-disciplined.
• Attention to detail and commitment to maintaining a strong control environment.
• Good communication skills (i.e. writing, listening, presentation).
• Advanced technical skills (i.e. MS Word, Excel, PowerPoint).

Nice-to-haves

• Certified Public Accountant (CPA) or equivalent certifications.

Benefits

• Medical, dental and vision coverage.
• 401(k) Savings Plan.
• Backup childcare.
• Life, accident and disability insurance.
• Mental health support.
• Paid time off.