As a company, we were established byChuckover 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.
The 1st Line of Defense (LOD) is responsible for monitoring and evaluating the effectiveness of internal controls established to mitigate identified risks. These individuals exhibit a deep understanding of the LOB including applicable systems, tools, policies and procedures and are adept at identifying procedural gaps and deficiencies. The Sr Team Manager will lead and supervise a team of Financial Risk Analysts who perform the control monitoring and evaluation. This position will be an integral part of the Financial Risk Management strategy, supporting senior leadership in the planning, implementation, and execution of the internal control testing program. Qualified persons should be experienced in people management, risk mitigation, policy execution, relationship management and Financial Reporting.
What you’ll do:
- Direct and supervise the design and successful execution of Financial Control examinations and provide strategic and proactive consultation in identifying risk exposures and developing solutions for internal control weaknesses and regulatory compliance issues
- Ability to understand and translate SOC-1, SOC-2, SOX and other Financial Risk and Control frameworks to coordinate internal control examination processes with varying risk partners
- Determine scope of examination, prioritization of activities and create testing schedule to complete evaluation according to planned timelines and standards set by Corporate and Regulatory standards
- Provide final approval for work papers, testing results, and validation of all corrective actions, ensuring reports are issued in a timely manner
- Develop and disseminate metrics reporting for senior leadership providing status updates and testing results
- Continually evaluate the need for enhancements to the Testing Program and partner across other 2nd & 3rd Line of Defense testing/audit groups to coordinate efforts where possible
- Train and onboard new members and working to continually improve and evolve process
- Maintain a strong working knowledge of federal and/or state fiduciary compliance regulatory requirements applicable to the assigned areas of responsibility
- For issues identified where controls can be enhanced to ensure compliance with firm or regulatory requirements, prepare written observations which can be incorporated into the final report identifying control gaps and supporting business leaders in control deficiency remediation activities and ensure timely completion
- Resolve escalated issues by testing members within and across varying LOB
This is a summary only and duties and responsibilities may be changed from time to time, or over time.
What you have:
The ideal candidate will possess the following qualifications
- Bachelor’s degreerequired; preferably in Accounting, Finance or Business Administration
- Eight or more years of related work experience in Financial or Accounting Control Audit, Financial Forecasting and Budgeting, Accounting, Tax, Treasury or Compliance role
- Five or more years of people management experience
- Strong Microsoft Office knowledge; preferably advanced Microsoft PowerPoint and Excel skills and familiarity with SharePoint and Tableau
- Demonstrated written and oral communication skills and ability to communicate with all levels of management
- Ability to build strong relationships and work cross functionally with internal and external constituents
- Strong analytical skills with the ability to identify, research and weigh risk and control issues
- Ability to work cooperatively and effectively with supporting team members to meet departmental goals
- Strong time management, organization and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
- Exercise sound judgment to influence a strong risk management culture across business practices
- Self-motivated along with the ability to bring projects and reporting to conclusion
- Series 7, 9/10 or 24 (active registration)
- Advanced degree such as MBA, professional designation such as CPA, CIA, CFSA, CFA or other applicable financial services and/or risk management certifications a plus; Big 4 public accounting experience
- Five or more years of financial service experience with strong understanding of FINRA and SEC rules including the Investment Advisors Act and securities industry practices
You demonstrate these behaviors:
- Curious: Constantly learns more about our processes as well as the processes of businesses we support.
- Results Oriented: Delivers on individual goals and visibly participates in delivering on team goals.
- Managing Change: Seizes opportunities to influence the future direction of an organizational unit or the overall business.
- Overcome barriers/Initiative: Proactively addresses obstacles and Identifies creative solutions.
- Interpersonal Effectiveness: Notices and accurately interprets what others are feeling, based on their choice of words, tone of voice, expressions, and other nonverbal behavior.
- Relationship Oriented: Thrives in an environment of strong collaboration and partnership with business partners, coworkers and managers.