The Senior Internal Controls Manager is responsible for developing, monitoring and improving the Company’s internal controls over financial reporting (SOX controls) and the NAIC Model Audit Rule (MAR), as well as non-SOX business controls. This includes partnering with the Head of Internal Controls in the design of controls as new processes/systems are implemented or existing processes are changed. The role has an intended focus on the Company’s Information Technology control environment.

The incumbent provides control expertise across the Company, working closely with key executives and internal audit to conduct assessment of internal controls, and serving as a primary point of contact with internal and external auditors in conducting control testing and coordinating efforts; including identifying deficiencies, and working with the appropriate business leaders to develop a plan for remediation and mitigation. 

ESSENTIAL DUTIES AND RESPONSIBILITIES:   

• Leads the establishment and maintenance of controls (both SOX/MAR and non-SOX controls), with an emphasis on general IT and automated controls; evaluates the soundness, adequacy and effectiveness of key financial and operational controls; and provides risk and controls-based consultative support across the company.
• Works independently with business representatives in the IT department, and other relevant departments across the organization, to ensure appropriate controls are in place and designed appropriately to manage IT-related risk.
• Leads the development and enhancement of processes, systems, procedures, and controls with emphasis on reducing IT-related risk and minimizing liability while ensuring operational controls run efficiently and are effective.
• Executes management’s IT SOX risk assessment and scoping activities to ensure proper SOX system, IT dependency, and automated controls linkage for a sustainable internal control framework.
• Assists business process owners/departments with documentation, as needed, and serves as key resource for process owners/departments on questions related to general IT and/or automated controls.
• Conducts “pre-audit” reviews of key controls to ensure quality, adherence to standards and reduce the risk of control deficiencies.
• Escalates deficiencies and leads proposed resolution plans and monitors progress against such plans.
• Assists in development of strategies and tactics to drive efficiencies in testing by internal and external auditors.
• Performs other related work as required. 

SUPERVISORY RESPONSIBILITIES: 

Direct Reports:

None

General Description of Indirect Reports (2 and 3-downs): 

None 

EDUCATION AND/OR EXPERIENCE:  

Bachelor’s degree in Accounting and/or Finance, Management Information Systems (MIS), or related field of study; plus seven (7) years of internal controls or audit experience; or equivalent combination of education and/or experience.

Experience in the annuity industry preferred, with particular emphasis general IT and automated controls.

Experience in public accounting strongly preferred. 

CERTIFICATES, LICENSES, PROFESSIONAL DESIGNATIONS:

Certified Public Accountant (CPA), Certified Internal Auditor (CIA), and/or Certified Information System Auditor (CISA) designation preferred.

KNOWLEDGE, SKILLS AND ABILITIES:   

• Comprehensive knowledge of IT auditing practices and procedures
• Proficiency with risk types, methodologies and frameworks for evaluating or testing controls and assessing results, conducting research, and identifying control deficiencies
• Strong project management, organizational, and interpersonal skills
• Strong internal drive and motivation for continuous improvement
• Proven to influence and work cooperatively and successfully with employees, customers, and other outside third parties
• Capable of solving problems and dealing with a variety of concrete variables in situations where only limited standardization exists
• Ability to handle pressure and meet deadlines in a fast-paced work environment
• Commitment to accuracy and attention to detail
• Excellent communication (oral, written and listening) skills