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Senior Risk and Compliance Analyst

2 months ago

Toronto, Ontario, Canada Brookfield Asset Management Full time

Job Overview

Senior Analyst, Risk and SOX Compliance

Position Overview

Reporting directly to the Director of SOX Compliance, this role is pivotal in facilitating the effective implementation of internal controls over financial reporting (ICFR) frameworks and executing the ICFR testing strategy to ensure adherence to Sarbanes-Oxley (SOX) mandates. The position involves evaluating operational efficiency, analyzing findings, and delivering actionable recommendations, alongside performing data analytics and communicating results. This role also encompasses various risk management initiatives, including insurance oversight, and requires close collaboration with functional business teams throughout the organization.

Key Responsibilities

  • Collaborate with and support our internal team, various portfolio company teams, and external service providers.
  • Conduct management testing for SOX engagements across North America and prepare documentation in alignment with SOX and audit standards, as well as internal audit protocols.
  • Plan and execute controls testing to evaluate the design and operational effectiveness of internal controls, coordinating efforts with the internal controls team, internal stakeholders, external auditors, and other third parties.
  • Partner with stakeholders across diverse operating businesses to ensure the SOX program is implemented in accordance with the company’s strategic plan.
  • Assess the severity of deficiencies, identify root causes, and formulate clear, concise, and practical recommendations while ensuring timely remediation.
  • Review and update internal controls documentation as necessary, including risk-control matrices, narratives, flowcharts, and testing plans.
  • Assist in monitoring and optimizing critical business processes and procedures.
  • Provide guidance and recommendations as needed to enhance and strengthen internal controls.
  • Support new acquisitions by identifying gaps, implementing control frameworks, and assessing the design and operational effectiveness of internal controls.

Required Qualifications

  • In-depth knowledge of SOX requirements and experience in assessing the design and operational effectiveness of internal controls; experience with Big 4 firms is advantageous.
  • Proven experience in managing business process testing with a solid understanding of IT General Controls (ITGC) and application controls.
  • Excellent verbal and written communication and presentation skills.
  • Strong influencing abilities: capable of effectively presenting viewpoints and garnering support for their position.
  • Experience working within dynamic organizations with evolving needs and complex business transactions.
  • Background in insurance organizations is considered beneficial.
  • Willingness to travel between Canada and the US (approximately 15-20% travel required).

Educational Background

  • Bachelor’s degree (or equivalent) with Accounting and Auditing designations (CPA, CA, CIA, or equivalent), accompanied by a minimum of 3-5 years of experience in accounting, integrated auditing, internal controls, and/or financial processes and reporting.
  • Demonstrated project management or coordination capabilities.
  • Strategic thinker with robust analytical skills and problem-solving aptitude.
  • Self-driven and proactive in managing workload and professional growth.
  • Proven ability to work effectively in a team environment while maintaining positive interpersonal relationships.
  • Familiarity with data-based auditing techniques, including the use of Computer-Assisted Audit Techniques (CAATs) and sampling methods.
  • Knowledge of US GAAP, International Financial Reporting Standards (IFRS), and SOX regulatory requirements is an asset.