Regulatory Audit Analyst(
Job Number : 2106720)
Helps to ensure internal controls over regulatory reporting (ICRR) are sound and effective to ensure compliance with a SOX-like framework.
Assigned regulatory areas are typically moderately complex. Incumbents demonstrate a breadth of knowledge of compliance and control and a thorough understanding of regulatory reporting.
Responsible for MI reporting, reconciliation and administration relating to internal databases
PRIMARY RESPONSIBILITIES :
Contributes to the establishment of SOX-like compliance for the regulatory reports and functional areas and is responsible for ensuring the implementation of that assessment.
Undertakes substantive testing on specific disclosures within report forms highlighting improvements in quality and process
To include contribution to exam memoranda, issue identification and follow up of remediation plans.
Collaborates with other stakeholders to develop and implement consensual decisions
Bachelor’s Degree or the equivalent combination of education and experience is required.
3-5 years of experience in financial services preferred. Experience of working in control environments would be beneficial.
Experience in public accounting, SOX testing, regulatory services or shared services is preferred. Experience in using MI tools such as Power BI.
Progression toward an accounting is preferred but not essential.