Financial Controls Analyst, Sr

The primary role of the Senior Financial Controls Analyst is to work closely with business stakeholders to ensure that material business processes and related controls are appropriately designed and documented to support the organization's Internal Controls over Financial Reporting (ICFR). This role serves as an advisor to business process owners in designing and implementing controls to mitigate key risks. The analyst works closely with external and internal auditors, conducts SOX business process reviews, maintains the management document repository for control documentation, assists in administering the SOX Compliance program, and performs special projects as needed. Responsibilities Conduct interviews with management of in-scope business processes and controls, preparing process narratives, process flow diagrams, and risk and control matrices (RCMs). Consult with management of the business units to design and implement new processes and controls. Provide guidance and support to management as a subject matter expert for any implementation or remediation activities, including documentation of action plans. Consult with management to identify and communicate opportunities for control enhancements and business process improvement within business processes. Conduct scoping and materiality assessments to determine in-scope processes and controls. Assist in management’s assessment of internal controls over financial reporting, including documentation of aggregated deficiencies and impact assessment memorandums. Support accounting/finance and other management special projects as needed, activities including, but not limited to, system implementations, remediation plans, process design, and regulatory compliance. Maintain the GRC system containing SOX documentation of processes, risks and controls, and ensure the database is updated timely and accurately. Coordinate and monitor management's quarterly attestation of SOX compliance and support executive management's quarterly and annual certifications. Work closely with management and Internal Audit to ensure appropriate coverage of SOX design and testing, including consideration for Entity‑Level and Information Technology General Controls (ITGC). Work closely with external auditors to ensure the program meets PCAOB requirements in terms of scope, timing, and approach. Work closely with the HTH Risk Advisory Department to assess risks, determine control effectiveness, make control updates, and identify potential areas for improvement. Remain well‑informed of changes in regulations and accounting standards to ensure timely compliance throughout the control environment. Assist in the development and delivery of SOX training and/or training materials for employees. Coordinate with Vendor Management on the annual third‑party service organization control assessments (SSAE 18 SOC 1 evaluations), including mapping of complimentary user entity controls (CUECs) to documented controls. Qualifications Minimum of two years of SOX Compliance, Internal Audit, or External Audit experience. Bachelor’s degree in accounting, finance, economics, or accounting information systems. Willingness to develop knowledge of financial services industry standards. Working knowledge of ICFR requirements, SEC reporting, PCAOB standards, ITGCs, and COSO framework. Strong written and oral communication skills. Skilled in conducting SOX business process reviews and creating process documentation (e.g., narrative, process flow diagrams, risk and control matrix) that meets professional standards. Excellent organizational and project management skills – ability to manage multiple tasks and projects simultaneously. Strong written and verbal communication skills, and the ability to work well in group dynamics or independently as the situation dictates. Strong proficiency in analytical work, documentation capacity and capability, and presentation abilities. Preferred Skills Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or candidate designation. Master’s degree in accounting or related field preferred. Proficiency with Audit Command Language (ACL) Analytics, Tableau, or other data analytics software and tools. Financial services experience a plus, including expertise in banking, mortgage lending, and/or securities. Understanding of federal and state regulations for various financial services industries. #J-18808-Ljbffr Hilltop Holdings