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SEC Financial Controls Manager reports directly to the SOX Program Manager. The position is responsible for documenting and executing the program plan for Internal Controls over Financial Reporting (ICFR) for the Controller's Department. The position works with control owner contacts to document the controls, and also oversees the test work and evaluates the effectiveness of the controls.
The SEC Financial Controls Manager is responsible for supervising and overseeing multiple (3-5) third- party testers, and reviewing/evaluating testers' documentation. The SEC Financial Controls Manager is a liaison with Business Units regarding controls documentation and testing, and may be responsible for final review of other business units' controls testing. The Manager would also oversee any Program Office resources that are assigned to test or assist in the evaluation of SOX controls for ICFR.
The SEC Financial Controls Manager is responsible for working directly with business unit control owners that ultimately report into the Controller's Department or for business units that report into the Financial Management Group but do not have specific Business Unit Controller and Financial Controls Manager (business units may include but not be limited to Financial Reporting, General Accounting, Financial Planning and Analysis, Accounts Payable, Payroll, Fixed Assets, etc). Numerous business units are involved, and systems and applications controls must also be assessed. Major responsibilities include:
- Participate in determining the scope for SOX controls - quarterly and annual plan
- Document/update scoping for quantitative threshold
- Apply qualitative factors
- Update benchmarks for quantitative considerations for Issues Management/Deficiency assessment
- Other Program Governance considerations
- Update and/or create policies and procedures for SOX framework
- Review reports issued by IRMG and assess impact to ICFR - facilitate meetings with SVP, Chief Auditor and Controller's Department IRMG contact
- Work closely with external auditors for their independent assessment of ICFR
- Determine approach for achieving each of the plans
- Timeline for completing each phase of the individual plans
- Resource needs to achieving the plan
- External costs related to third party testers
- Resource management - Fieldglass for external testers
- Initiate requisitions
- Approve time reports
- Extend/terminate resources when necessary/appropriate
- Supervise and manage controls testing
- Assign controls testing to third party testers
- Monitor status
- Review and approve testers' documentation
- Summarize ineffective controls
- Develop criteria and facilitate training sessions for external testers
- Prepare presentations for SOX Oversight Committee, Disclosure and Audit & Finance Committee meetings, including the status of plan, deficiencies identified, and remediation plans and status
- Other responsibilities and special projects as assigned
Education, Licensure, Experience:
- Bachelor's Degree in Accounting or Finance required
- Ten + years experience in external audit, internal audit and /or SOX required
- Big Four experience desired
- CPA desired
- Large banking experience desired
Knowledge, Skills, Abilities:
The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified.
- Strategic planning to determine approach
- Analytical skills to assess risks and areas of focus
- Collaborative approach for working with other business units
- Comfortable working in fast-paced environment
- Ability to multi-task effectively
- Knowledge and experience in applying End User Computing controls for applications, data bases, spreadsheets and models
- Presentation skills - written and verbal
- Ability to work at all levels - management and non-management
- Working knowledge of Hyperion application, PeopleSoft, MS Office applications
- Strong PowerPoint and MS Visio skills
Why Work for Union Bank?
Headquartered in San Francisco, UnionBanCal Corporation is a financial holding company with assets of $88.2 billion at September 30, 2012. Its primary subsidiary, Union Bank, N.A., is a full service commercial bank providing an array of financial services to individuals, small businesses, middle-market companies, and major corporations. The bank operated 402 branches in California, Washington, Oregon, Texas, Illinois, and New York as well as two international offices, on September 30, 2012. UnionBanCal Corporation is a wholly-owned subsidiary of The Bank of Tokyo-Mitsubishi UFJ, Ltd., which is a subsidiary of Mitsubishi UFJ Financial Group, Inc. Union Bank is a proud member of the Mitsubishi UFJ Financial Group (MUFG, NYSE: MTU), one of the world's largest financial organizations. Visit
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- We are a financially strong and stable bank.
- We value workplace diversity.
- We are committed to the training and development of our employees.
- Innovative vacation benefits.
- We offer a matching 401k, a Retirement Plan, a variety of Flexible Health Benefits.
Union Bank offers a competitive compensation and benefits package including a 401K plan. Pre-employment background screening is required for all positions.
Union Bank is committed to leveraging the diverse backgrounds, perspectives, and experiences of our workforce to create opportunities for our people and our business. EOE. M/F/D/V
Union Bank - 19 months ago
Union Bank is a full-service bank with offices across the United States. We provide a wide spectrum of corporate, commercial, retail banking...