Financial Institution Senior Consultant (SOX and FDICIA Controls)

Overview

This role supports financial institution clients with risk advisory services focused on SOX and FDICIA controls, regulatory compliance, and internal controls over financial reporting (ICFR). You will work with client executives and management teams to understand business processes and systems, identify and manage regulatory compliance risks, and help implement and maintain compliance programs.

Responsibilities

• Work closely with client executives and management teams to understand business processes and assist in identifying and managing regulatory compliance risks within their processes and systems
• Directly assist clients in being compliant with new or updated financial institution regulations
• Implement new or updated regulatory requirements and translate regulatory requirements to ensure financial institution compliance
• Stay up to date on existing compliance regulations
• Develop and maintain knowledge of the financial institution industry and regulatory changes, including identifying potential impacts to compliance audit programs
• Support internal audit practice efforts as a subject matter expert on regulatory and compliance topics
• Provide strategic business advice by assisting in the implementation of new regulatory requirements
• Assist in managing client engagement teams, including staffing, billings/collections, and ensuring client profitability targets are met
• Network and build internal and external relationships with clients and the community
• Invest in professional development through individual effort and firm-wide learning and development programs
• Support the growth and development of team members through mentorship and coaching aligned with firm learning principles
• Contribute to a team environment that encourages 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
  • 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 client-serving consulting, advisory, or public accounting experience 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 the effectiveness of internal controls
• 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

• Comprehensive compensation and benefits package to eligible employees
• Actual compensation is influenced by applicant skills, prior experience, qualifications, degrees/certifications, work arrangements, and geographic location

Pay rate ranges by location:

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

Location

Opportunities available in:

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

Work location status (including requirements for the opportunity) should be discussed with the talent acquisition professional.