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Controls Manager - Vice President  

Kforce is looking for a qualified candidate to supervise a staff of four as control officer for global securities settlements. This position manages, as a team leader, some aspects of Sarbanes-Oxley (SOX) compliance including quarterly representation letters, self-assessment, testing, and issue escalation. Provide quality check on written supervisory procedures. This position may assist in the coordination of the SAS 70 audit of operations describing controls over customer accounts. Coordinate with internal/external auditors and broker/dealer examiners. Special projects might include review of licensing requirements, implementing controls over customer information (client confidentiality), deep dive reviews of a critical function such as funds transfer controls, and information owner's review of access to operations systems. Participate in merger integration teams.

Primary Responsibilities:
  • Manage bi-annual Control Self Assessment process for IB Securities Operations - NA
  • Conduct SOX 404 testing which requires the staff to identify/validate key controls and coordinate self-testing as well as provide guidance to testers and perform "handshakes" to affected businesses
  • Coordinate SOX 302 quarterly representation which requires staff to assist senior managers in identifying breaking issues
  • Maintain written supervisory procedures, for which the group assists control supervisors and their managers in identifying key controls and changes in the control environment that should be documented
VP of Controls Management Qualifications:
  • Knowledge and understanding of operations to include physical security settlements
  • Advanced MS Excel and Access skills
  • Strong risk and project management skills are require
  • Must have the ability to function as a team in coordination with New York and off-shore groups
  • Background in banking or brokerage operations
  • Ability to analyze processes and procedures leading to recommendations on controls improvements
  • Excellent project skills with the ability to handle diversified assignments
  • Detailed oriented with the ability to manage multiple tasks in a high stress environment while maximizing quality of service
  • Excellent interpersonal, technical, and problem solving skills
  • Strive for excellence and the highest levels of professionalism while leading by example
LocationNewark, DE
CountryUnited States of America
Employment AgencyKforce Professional Staffing, Inc.
ContactKforce Professional Staffing, Inc.
Posted Date05/24/2011 16:42:51
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