IT Internal Controls Specialist I
HybridMiami, Florida, United States
Job Summary
Conduct assessments of business processes and operations to identify control weaknesses, risks, and compliance gaps. Design and execute tests on self-assessments, investigate root causes of loss events, and develop action plans to address identified deficiencies. Collaborate with business partners and Principal Risk Owners to facilitate risk assessments, review new product proposals for regulatory suitability, and monitor the completion of agreed-upon changes. Prepare documentation, working papers, and reports for committees while creating Key Risk Indicators. Perform duties ensuring compliance with BSA/AML laws, Sarbanes-Oxley, and COSO methodology. Assist third parties with assessment processes and ongoing monitoring of outstanding items.
Required Qualifications
- BA degree business or related field
- Minimum 2 years' experience of bank and/or broker dealer experience
- specialization in Operational risk, Audit or Risk Assessment roles
- Proven ability to develop, document and maintain operational policies and procedures
- designing and documenting detailed process flows
- development of operational performance and quality metric standards and reports
- Experience performing assessment, reviews, audits and/or testing in Business, Commercial, and/or Operations areas/processes
- Experience working with Excel, Access and/or other similar tools
- developing and maintaining various analyses and reporting tools
- Knowledge in tools used for data science and other statistical analyses such as SAS, Tableau, ACL, R or Phyton
- Knowledge of U.S. banking and broker dealer regulations
- Knowledge of Sarbanes-Oxley
- Knowledge of COSO methodology
- Advanced skills in Microsoft Office applications, specifically, Excel, Access, Power Point and Word
- Strong communication skills
- Fluency in English
Desired Qualifications
- BA degree business or related field preferred
- equivalent work experience considered
- Fluency in Spanish and/or Portuguese is desirable
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