Senior Compliance Analyst

The Sr. Compliance Analyst plays a vital role in ensuring the organization's adherence to internal controls and regulatory requirements and acting as a trusted advisor to business leaders, providing guidance on compliance matters and promoting a culture of risk awareness. This role focuses on the execution and evidence retention of SOX, SOC, and operational management controls, as well as monitoring and supporting control activities performed by operational teams. By proactively identifying and mitigating risks, the Compliance Analyst safeguards the company's assets, reputation, and financial integrity. This is not an internal audit role, but rather a hands-on position focused on supporting and ensuring compliance and mitigation of financial risk within the operational environment. Can make informed decisions independently, taking calculated risks and demonstrating sound judgment in complex situations.

CONTROL EXECUTION

• Execute assigned SOX, SOC, and operational management controls, ensuring accurate and timely completion.

• Maintain meticulous documentation and evidence to support control execution and demonstrate compliance.

• Collaborate with process owners and control performers to clarify control objectives and procedures.

CONTROL MONITORING

• Track and monitor the completion of control activities embedded within operational teams, ensuring adherence to schedules and accuracy.

• Follow up on any overdue or incomplete control activities, escalating issues as needed.

• Provide guidance and support to operational teams on control execution and documentation.

RISK MITIGATION + CONTROL FRAMEWORK DEVELOPMENT

• Proactively identify and assess operational risks within assigned business units.

• Develop and implement risk mitigation plans to address identified risks.

• Collaborate with management to ensure appropriate risk responses are in place.

• Take a lead role in designing and implementing new controls or enhancing existing ones in response to evolving business needs or regulatory changes.

• Collaborate with cross-functional teams to ensure controls are embedded effectively within new or modified processes.

CONTINUOUS IMPROVEMENT

• Continuously evaluate the effectiveness of existing controls and identify opportunities for improvement.

• Recommend enhancements to control design and execution to strengthen the control environment.

• Stay abreast of regulatory changes and industry best practices related to internal controls and compliance.

REPORTING + COMMUNICATION

• Prepare and present regular reports on control performance and compliance status to management.

• Communicate effectively with stakeholders across the organization, including operational teams, internal audit, and external auditors.

These statements are intended to describe the general nature and level of work being performed rather than give an exhaustive list of all duties and responsibilities.

Minimum Required Qualifications for Consideration:

• Bachelor's degree in Finance, Accounting, Business Administration, or a related field.

• 4+ years of experience in internal controls, audit, compliance or related fields.

• Strong understanding of internal control frameworks (SOX, SOC) and risk management principles.

• Excellent attention to detail and organizational skills.

• Demonstrated ability to think strategically and translate complex regulatory requirements into practical solutions.

• Excellent communication and presentation skills, capable of conveying complex information to diverse audiences in a clear and concise manner.

• Ability to work independently and proactively.

• Proficiency in relevant software and technologies (e.g., Microsoft Excel, GRC tools).

• The position may involve working with sensitive financial and operational data, necessitating a high level of integrity and confidentiality.

• Deep understanding of the industry's regulatory landscape and compliance best practices.

• Must successfully pass a background investigation.

Preferred Qualifications:

• Ability to leverage analytical abilities to guide decisions that mitigate risk.

• Ability to demonstrate initiative, curiosity and an eagerness to learn.

• Experience with the identification and execution of process improvement initiatives, using process improvement methodologies.