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T he Director, Credit Risk and SOX is a leadership role that will facilitate and oversee the process to proactively assess risks, design and implement a control environment that effectively supports the financial and regulatory reporting for the Company. This role will ensure sound governance, oversight and execution of the financial risks and controls as part of our Sarbanes Oxley (SOX) program. This is a highly visible position and the individual will collaborate with key constituents and management across the organization as part of the first lines of defense. This is a position that reports to Credit Administration organization.
Be the SME on Sarbanes Oxley compliance and facilitate training with business and control owners for CECL process and control owners
Represent Credit Administration in discussion with SOX PMO, compliance and internal and external auditors to ensure seamless audit execution and consideration of the impact of audit observations
Ensure compliance with all aspects of SOX section 404 including quarterly disclosure procedures and annual certification of internal controls over financial reporting.
Ensure CECL SOX documentation (narratives, risk control matrices and flow charts) are current and reflect business practices
Assess CECL control issues and partner with business owners to develop plans to correct controls weaknesses and monitor implementation.
Participate and perform risks assessments for projects and initiatives for Credit Administration
Self-starter, pro-active, high energy, and strong interpersonal skills with a team-focused attitude
Effectively manage and build internal and external relationships with key stakeholders
Strong project management skills with an ability to independently lead a project with minimal direction
Excellent analytical, written/oral communication and interpersonal skills and ability to interact at all levels of the Company
Strong / broad understanding of Sarbanes Oxley Act of 2002, current accounting (U.S. GAAP) and internal control concepts (COSO 2013) including IIA Standards and various auditing techniques.
Experience with internal controls including process control design, preparation of flowcharts & control matrices, documentation and testing of controls, and identification and reporting of control "gaps" required
Progressive experience in a combination of public and/or internal audit experience with a background in financial services is highly desirable.
A Bachelors (or Masters) Degree in Accounting (preferred) or Finance.
A professional certification such as CISA, CPA, CIA, preferred but not required
Approximately 10 to 15 years performing audit work, which conforms to professional standards.