Roles & Responsibilities

• Coordinate SOC1 audit activities with external auditor, which includes but not limited to: scheduling walkthroughs, administering document request list, fielding questions, etc.
• Contribute to the completion of the SOC1 audit report by updating process narratives and drafting action plans for issues identified.
• Assist in the design of internal controls and make recommendations for improvement.
• Coordinate the planning, documenting and assessing of the control environment, including but not limited to the completion of process walkthroughs and identifying potential issues for escalation to management.
• Maintain control inventories as assigned to ensure completeness and accuracy of all documentation.
• Develop reporting tools to track project status, testing execution, and defect management for presentation to clients and/or management.
• Participate in the development of the project plan, track status of tasks against due dates and percentage complete, and provide revisions to the client/management.   
• Support the execution of management’s 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 the organization.
• Collaborate with management and process owners in the development of action plans to assess the adequacy of actions taken to remediate reporting deficiencies, accepting adequate corrective actions and continuing reviews with appropriate management on actions considered inadequate until satisfactory resolution.
• Collaborate with the various risk and compliance functions in the development and implementation of a system to capture and track control deficiencies.
• Assist in the developing process and policies for reporting findings. 

 

Qualifications:

• Minimum of 2 years of experience in internal controls, audit or risk management within the financial/insurance services industries.
• Undergraduate degree in Accounting, Information Technology or related field, or equivalent work experience.
• Experience working on GRC projects, internal audits and/or operational risk assessments.
• Knowledge of SOC1 and SOC2 requirements.
• Experience with Excel and Visio workflow project management tools. 
• Ability to document and verbally communicate reporting processes in a clear and concise manner, including assessment of design and operating effectiveness of controls. 
• Communication skills to educate/raise awareness of foundational elements/methodologies needed to support an internal control framework. 
• Advanced problem solving and analytical skills required.