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 offering actionable recommendations, alongside performing data analytics and documenting outcomes. Additionally, this role encompasses support for various risk management initiatives, including insurance-related activities, and necessitates close collaboration with functional business teams throughout the organization.

Key Responsibilities

  • Collaborate with and assist our internal team, various portfolio company teams, and service providers.
  • Conduct management testing for SOX engagements across North America and prepare documentation in line 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, stakeholders, external auditors, and other third parties.
  • Work alongside stakeholders across diverse business operations to ensure the SOX program is executed according to the company’s strategic plan.
  • Assess the severity of deficiencies, identify root causes, and develop 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 insights 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 skills, along with strong presentation capabilities.
  • Strong influencing skills, with the ability to effectively present viewpoints and garner support.
  • Experience in dynamic organizations with evolving needs and complex business transactions.
  • Familiarity with insurance organizations is considered a plus.
  • Willingness to travel between Canada and the US (approximately 15-20% travel).

Educational Background

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

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