Financial Institution Senior Consultant (SOX and FDICIA Controls)

Overview

This role supports the Risk Advisory practice with a focus on SOX and FDICIA controls for financial institutions. The work involves partnering with client leadership to assess regulatory compliance risks, implement and translate new or updated regulatory requirements, and help ensure financial institutions remain compliant through effective internal controls.

Responsibilities

• Work closely with client executives and management teams to understand business processes and systems and identify and manage regulatory compliance risks
• Assist clients with compliance for new or updated financial institution regulations
• Implement new or updated regulatory requirements and translate requirements to support financial institution compliance
• Stay current on existing compliance regulations
• Maintain broad knowledge of the financial institution industry and regulatory changes, including identifying potential impacts to compliance audit programs
• Support internal audit as a Subject Matter Expert on regulatory and compliance topics
• Provide strategic business advice by assisting with implementation of new regulatory requirements
• Assist with managing client engagement teams, including staffing and billings/collections, and ensure client profitability targets are met
• Use entrepreneurial skills to network and build relationships internally and externally with clients and the community
• Invest in professional development, including participation in firmwide learning and development programs
• Support growth and development of team members
• Contribute to a collaborative team environment that supports work-life balance

Minimum Required Qualifications

• 4 year degree
• Three (3) years of experience

Preferred Qualifications

• Bachelor’s degree in accounting, finance, or a related program
• 3+ years of direct, hands-on experience with SOX and/or FDICIA internal control programs within the financial services industry (banking experience strongly preferred)
• Demonstrated experience with internal controls over financial reporting (ICFR), including:
  • Process and control documentation
  • Walkthroughs
  • Risk and control assessments
  • Control testing
  • Evaluation of control design and operating effectiveness
  • Identification of control deficiencies and remediation
• Demonstrated ability to execute key components of SOX and/or FDICIA programs, including coordination with process and control owners, internal audit, external audit, and other key stakeholders
• Prior experience in a client-serving consulting, advisory, or public accounting environment supporting financial institution clients and/or experience within a financial institution’s SOX/FDICIA, internal controls, internal audit, or related risk function
• Experience communicating control observations, testing results, deficiencies, and remediation matters to client stakeholders and engagement leadership
• CIA or CPA designation(s) strongly preferred; candidates interested in obtaining a CIA or CPA certification in the future are also encouraged to apply
• Strong analytical, technical, and problem-solving skills, including the ability to understand business processes, identify risks, and evaluate internal control effectiveness
• Exceptional verbal and written communication, collaboration, project management, and time management skills
• Strong sense of urgency and client responsiveness
• Ability to travel up to 10%

Compensation & Benefits

Pay rate ranges vary by location. Actual compensation is influenced by factors including skills, prior experience, qualifications, degrees/certifications, work arrangements, and geographic location. A comprehensive compensation and benefits package is provided to eligible employees.

• In Chicago, IL: $80,000 to $129,900
• In Philadelphia, PA: $80,000 to $129,900
• In New York, NY: $90,900 to $147,600
• In Frisco, TX: $76,400 to $124,000
• In Miami, FL: $72,700 to $118,100
• In Nashville, TN: $72,700 to $118,100
• In Denver, CO: $80,000 to $129,900
• In Irvine, CA: $83,600 to $135,800

Location

Opportunities are listed with pay rate ranges for:

• Chicago, IL
• Philadelphia, PA
• New York, NY
• Frisco, TX
• Miami, FL
• Nashville, TN
• Denver, CO
• Irvine, CA

Work location status requirements may vary; discuss work location status with the organization’s talent acquisition professional to understand requirements for the opportunity being explored.