Broadridge is growing. We are currently recruiting for a Director - Finance, Risk & Compliance Reporting to the VP of Global Technical Accounting and Corporate Accounting Compliance, you will be responsible for supporting process improvement as well as regulatory compliance and risk mitigation efforts relating to external regulatory examinations, Sarbanes Oxley compliance, external SSAE 18 audits, and information security matters related to our Finance organization. In this role, you will act as an internal management consultant by championing process improvement throughout the Global Finance function. As the Director, you should have relevant technology risk management / internal audit / regulatory experience with a working knowledge of FFIEC guidelines, policies and procedures, along with hands on experience leading compliance programs such as Sarbanes Oxley (SOX), Gramm-Leach-Bliley Act (GLBA), the Office of Comptroller of the Currency (OCC) and the Federal Reserve Board (FRB).
Process Improvement and Special Projects -- 20-40% of Time
Champion process improvement by identifying and implementing best practices to assist the Global Finance organizational goal of standardization, automation and process optimization -- Broadridge has grown significantly and needs scalable process infrastructure that will facilitate future growth goals
Act as the Business Information Security Officer ("BISO") for the Broadridge Finance organization
Implement information security projects related to data privacy and protection over sensitive Finance data, such as data residing in systems, network shared drives and email
Lead the Business Continuity Program for Finance to ensure continuity over operations and systems in the event of a disruption
Review investor information (Earnings Releases, 10-Qs, etc.)
FFIEC Compliance - 30%-40% of Time.
Lead the development and maintenance of an FFIEC compliance program and reporting framework across the company
Working closely with business area management, assess the design and operating effectiveness of corporate governance, strategic planning and internal control processes and identify areas for improvement. Assist business areas in the implementation of related information technology compliance and risk management initiatives
Conduct / coordinate risk / internal control assessments and prepare documentation of results noting any risks, issues and recommendations
Ensure Management awareness of timing and scope of examination, coordinate data gathering meetings on a weekly basis or more frequently as needed prior to Examiners onsite fieldwork
Act as an IT integration manager with key business units and departments, including Internal Audit, Information Security, Controllers and others, facilitating and enhancing those relationships for the benefit of the firm
Work with lead Examiner to establish timing of onsite reviews, understand scope of reviews and testing, gather advance data as defined in the first day letter, act as point of contact for additional information requests, and coordinate access and workspace for Examiners when onsite
Arrange meetings with business unit management and associates during fieldwork and follow up on additional requests identified during meetings. Arrange for entrance and exit meetings and final Examination closing meetings
Provide update to management during the course of the data gathering activities and fieldwork in the form of status emails and report cards, review draft reports to ensure clear and accurate statement of background and findings and provide feedback to Examiners along with suggestions for changes
Sarbanes Oxley PMO coordination supporting- 40% of Time.
Manage SOX PMO activities relating to risk assessment, scoping, design, testing and review of controls supporting financial systems
Communicate with SOX coordinators relating to IT general and application controls. Ensure documentation is kept current, evaluate testing results and obtain signoffs from area management related to IT controls
Meet routinely with Finance Management, Information Technology Management, Internal Audit and Information Security to address deficiencies and design and implement controls enhancements
Meet routinely with external auditors to coordinate timing and status of fieldwork. Responsibilities include setting annual compliance requirements and providing field guidance to establish/resolve issues surrounding accounting, process level and IT controls
Help identify, design, and implement process and efficiency improvements for all IT control related activities
Experience:
Forward thinker with a mind for proactive action and continuous improvement, including identifying process and efficiency improvements across all responsibilities
Self-starter with excellent project management, communication skills and a real team player
7+ years of technology risk / information security experience / technology audit / operational risk management
Extensive knowledge of standard Technology Risk Management\Control frameworks including COSO, COBIT, ITIL, ISO 27000 and regulatory guidelines including FFIEC guidelines, policies and procedures.
Extensive knowledge of Sarbanes Oxley (SOX), SSAE 18(SOC 1, 2, & 3)
Information Security and Internal Controls experience with various operating systems and processing platforms
Solid technical background with experience in system delivery including SDLC methodologies.
Bachelors degree required, CPA, CISA, CISM, or CISSP certification strongly preferred
Experience implementing and running a global technology risk and compliance program
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