Operations & Compliance Specialist [Fully 100% Remote] for a large Global Publicly Traded Service Company

Vertical Careers, Inc.

Los Angeles California

United States

Customer Service / Call Center
(No Timezone Provided)

Operations & Compliance Specialist

This position can be Fully 100% Remoteworking from anywhere in the US! It is in the Internal Controls Governance (ICG) group reporting to the Audit Manager, Operations & Compliance out of HQ in Woodland Hills. 

High level overview:

  • Time is split between SOC reporting and Operations.
  • Reviews financial systems and controls documents.
  • Assess risk, design, implement, and document control activities.
  • May help out with audits but not the main responsibility.
  • Helps business review Service Org Control (SOC) reports from 3rd party vendor auditors

Requirements:

  • Working knowledge of SOX
  • IT Audit experience is a plus
  • Intermediate Excel and Visio experience
  • CIA, CISA or CPA preferred

Job Summary:

Evaluates effectiveness and efficiencies of all financial systems; Monitors emerging NAIC accounting issues related to the Model Audit Rule (MAR) to ensure that the Internal Control over Financial Reporting (ICFR) Framework meets regulatory requirements; Prepares ICFR Documentation and Evaluation for all in scope financial and company-level processes and coordinates the remediation of any Issues & Actions; Coordinates and oversees ICFR Sustainability through, Quarterly PO Sign-Off, Process Change Impact Assessments, and Key Control & MRCA Validation efforts.

Essential Job Functions:

  • Assists with Annual ICFR Process Re-Scoping efforts based on current Financial Statements and Risk-Based assumptions.
  • Coordination and validation of remediated ICFR Issues & Actions Monitors emerging external regulatory and compliance issues, such as those related to the NAIC’s newly enacted MAR, and proposed changes to ICFR Framework practices.
  • Evaluates impact on existing in-scope process Documentation & controls Evaluation and any potential scoping changes
  • Recommends appropriate action and implements new/revised controls to assure compliance.
  • Prepares and maintains ICFR Documentation and Completes the Evaluation of Design and Operational Effectiveness for all in-scope processes related to all in-scope locations/companies.
  • Coordinates and oversees the Quarterly ICFR Process Owner (PO) Control Environment Sign-Off for all in-scope locations/companies.
  • Conducts issue resolution process for all requested changes resulting from quarterly PO sign-off.
  • Evaluates new, enhanced, and/or revised ICFR in- scope processes to ensure proper controls are established or continue to be present, control gaps or weaknesses are identified and recommends proper controls required to meet ICFR, Audit, and external regulatory guidelines.
  • Prepares, assists, and coordinates audits of the Operational Effectiveness of existing Control Activities (CAs) and Managerial Review of Control Activities (MRCA) CA Validation Techniques throughout the organization.
  • Provides research, development and completion of special financial projects and performs other duties/tasks as assigned.
  • Promotes safety at all times and complies with safety/ergonomic standards as outlined in relevant company published manuals.

Education Requirements

  • Bachelor’s degree in Accounting, Finance or related field. CIA, CISA or CPA certification preferred.

Experience Requirements

  • 4+ years' Accounting or Finance and auditing experience.

Special Skill Requirement

  • Intermediate Excel and Visio experience
  • Working knowledge of SOX
  • IT audit experience a plus
  • Strong attention to detail
  • Ability to work independently

Operations & Compliance Specialist [Fully 100% Remote] for a large Global Publicly Traded Service Company

Vertical Careers, Inc.

Los Angeles California

United States

Customer Service / Call Center

(No Timezone Provided)

Operations & Compliance Specialist

This position can be Fully 100% Remoteworking from anywhere in the US! It is in the Internal Controls Governance (ICG) group reporting to the Audit Manager, Operations & Compliance out of HQ in Woodland Hills. 

High level overview:

  • Time is split between SOC reporting and Operations.
  • Reviews financial systems and controls documents.
  • Assess risk, design, implement, and document control activities.
  • May help out with audits but not the main responsibility.
  • Helps business review Service Org Control (SOC) reports from 3rd party vendor auditors

Requirements:

  • Working knowledge of SOX
  • IT Audit experience is a plus
  • Intermediate Excel and Visio experience
  • CIA, CISA or CPA preferred

Job Summary:

Evaluates effectiveness and efficiencies of all financial systems; Monitors emerging NAIC accounting issues related to the Model Audit Rule (MAR) to ensure that the Internal Control over Financial Reporting (ICFR) Framework meets regulatory requirements; Prepares ICFR Documentation and Evaluation for all in scope financial and company-level processes and coordinates the remediation of any Issues & Actions; Coordinates and oversees ICFR Sustainability through, Quarterly PO Sign-Off, Process Change Impact Assessments, and Key Control & MRCA Validation efforts.

Essential Job Functions:

  • Assists with Annual ICFR Process Re-Scoping efforts based on current Financial Statements and Risk-Based assumptions.
  • Coordination and validation of remediated ICFR Issues & Actions Monitors emerging external regulatory and compliance issues, such as those related to the NAIC’s newly enacted MAR, and proposed changes to ICFR Framework practices.
  • Evaluates impact on existing in-scope process Documentation & controls Evaluation and any potential scoping changes
  • Recommends appropriate action and implements new/revised controls to assure compliance.
  • Prepares and maintains ICFR Documentation and Completes the Evaluation of Design and Operational Effectiveness for all in-scope processes related to all in-scope locations/companies.
  • Coordinates and oversees the Quarterly ICFR Process Owner (PO) Control Environment Sign-Off for all in-scope locations/companies.
  • Conducts issue resolution process for all requested changes resulting from quarterly PO sign-off.
  • Evaluates new, enhanced, and/or revised ICFR in- scope processes to ensure proper controls are established or continue to be present, control gaps or weaknesses are identified and recommends proper controls required to meet ICFR, Audit, and external regulatory guidelines.
  • Prepares, assists, and coordinates audits of the Operational Effectiveness of existing Control Activities (CAs) and Managerial Review of Control Activities (MRCA) CA Validation Techniques throughout the organization.
  • Provides research, development and completion of special financial projects and performs other duties/tasks as assigned.
  • Promotes safety at all times and complies with safety/ergonomic standards as outlined in relevant company published manuals.

Education Requirements

  • Bachelor’s degree in Accounting, Finance or related field. CIA, CISA or CPA certification preferred.

Experience Requirements

  • 4+ years' Accounting or Finance and auditing experience.

Special Skill Requirement

  • Intermediate Excel and Visio experience
  • Working knowledge of SOX
  • IT audit experience a plus
  • Strong attention to detail
  • Ability to work independently