Risk & Controls Associate

About the role

With an eye for details, you are excited to monitor the risk environment of the Company and provide insights to enable effective risk management. You enjoy partnering with the business by providing advice, guidance, and problem solving to identify areas of risk and make valuable recommendations on controls. You are interested in influencing change and decisions for business initiatives, project launches, and system implementations. A dynamic environment is motivating and you are passionate about technology and able to focus on key issues and the details that come with it.

Responsibilities

• Maintain the inventory of internal controls and assist control owners in their knowledge and understanding of the controls they own
• Support the design and documentation of controls and where appropriate framework, policy, and process documentation to support those controls
• Cook up the annual risk assessment process and assist management in identifying and mitigating risks
• Aid in holistic risk quantification and mitigation efforts across business units
• Develop internal audit scope and audit plans
• Acquire, analyze, and evaluate documentation to execute audit plans
• Prepare and present reports that reflect audit results
• Maintain open communication with teams and leadership across the organization
• Manage the relationship with the external auditors
• Project manage the external audits across multiple regulatory regimes including the audit preparation process and communication between auditors and control owners
• Actively identify areas to improve operations and independently handle broad-scope projects

Requirements

• Bachelor's degree in Business, Finance, Accounting, or related field, or equivalent experience
• 3+ years of work experience in an audit, advisory consulting, or risk management role
• Experience designing, testing, implementing internal controls and reviewing business processes
• Ability to interact with all levels, set objectives, and create results
• Ability to navigate through ambiguity
• Ability to manage and coordinate multiple project assignments simultaneously in a fast-paced environment
• Ability and willingness to take initiative to address problems and make continuous process improvements
• Excellent communication skills, with the ability to work with a wide variety of stakeholders

Qualifications

• CPA, CA, CIA, or related experience (preferred)
• Knowledge of broker-dealer compliance requirements, including SEC Rule 17a-5 (preferred)
• Knowledge of NAIC Model Law on Suitability in Annuity Transactions (preferred)
• Knowledge of the AICPA Trust Services Criteria for SOC 2 Examinations (preferred)

Skills

• Strong analytical and problem-solving skills
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Proficiency in Microsoft Office Suite

Benefits

At Flourish, we focus on ensuring fair, equitable pay by providing competitive salaries, along with bonus and incentive opportunities and benefits for all employees. Base Salary Range: $88,300 - $115,900 plus bonus

Pay

Base Salary Range: $88,300 - $115,900 plus bonus

Schedule

N/A