Responsible for assisting in the day-to-day execution of the Aegon Americas Sarbanes Oxley controls program within the first line of defense. Responsible for assisting in the identification, assessment, oversight reporting and disclosure of key controls across the company and to ensure the business procedures and/or financial controls are in compliance with applicable regulatory and corporate standards and practices. Develop and maintain relationships with appropriate business management and process owners, as well as risk management personnel (second line of defense).
- Assist in the design of internal controls, and make recommendations for improvement.
- Assist in documenting financial/accounting/actuarial process flows, with a focus on internal controls and Sarbanes-Oxley compliance.
- Support the execution of management’s SOX risk assessment and scoping activities to ensure proper risk identification, process mapping and controls linkage for a sustainable internal control framework.
- Assist in the development and implementation of goals, policies, priorities and procedures relating to internal controls over financialreporting and SOX.
- Prepare updates to management, to include management control remediation plans.
- Work with external auditors to plan and implement an assessment of the control environment, coordination of timing and execution of process walkthroughs, and a process for timely sharing of potential issues for resolution with respect to internal controls.
- Collaborate with the first line in development of action plans to assess the adequacy of action taken by management to correct reporting deficient conditions, accepting adequate corrective action and continuing reviews with appropriate management on action considered inadequate until satisfactory resolution.
- Collaborate with the second line the in development and implementation of a system to capture and track control deficiencies, as well as internal and external audit findings to resolution.
- Engage the second line in testing the design and operating effectiveness of internal control over financialreporting.
- Collaborate and assist in assessing control implications within the Issue Paper process.
- Assist in developing process and policies for reporting findings.
- Bachelor’s degree in accounting or relevant field, or equivalent work experience.
- Typically five years of experience in internal controls, audit or risk management within the financial services industry.
- Experience working on internal audits and/or operational risk assessments.
- Ability to document and verbally communicate financialreporting processes in a clear and concise manner, including assessment of design and operating effectiveness of controls.
- Big 4 public accounting experienceworking with controls within the Sarbanes Oxley environment.
- Experience developing and assessing controls for IT and Operations