Controls manager job description

As the Manager of Internal Controls, you will support the overall management, design, documentation, implementation, and training of the Internal Controls over Financial Reporting (ICFR) program for the system. This role can be based in the greater Milwaukee or Chicago Area.

Supports the overall management, design, documentation, implementation, and training of the internal control over financial reporting program for the system.

Oversees annual planning procedures for the internal control over financial reporting program, including detailed risk assessments, business process scoping, and materiality assessments.

Working directly with the key business process owners, assists with the design and documentation of key controls and risks. Serves as a liaison between the Accounting and Audit functions of the organization to develop well-controlled and well-documented financial processes. Consults with key business process owners to implement financial process improvements.

Lead and oversee the annual testing of operating effectiveness of key controls over financial reporting, including coordination with the internal and external audit teams.

Manages the quarterly assessment of operating effectiveness of controls over financial reporting by the key control owners. Collaborates effectively with key control owners to understand, assess, and document changes in controls and risks as a result of changing systems and processes.

Works with the key control owners to develop and implement remediation plans for deficiencies identified related to key controls. Tracks the deficiencies identified, remediation plans and the related status of those remediation plans to report to senior leadership and the Audit and Compliance Committee.

Coordinates cross-functionally with members of Information Technology and Internal Audit on the design, implementation, and operating effectiveness of IT General Controls.

Educates accounting and finance personnel regarding internal controls over financial reporting, including communicating expectations and roles of each individual related to the organization's internal control over financial reporting program.

Assists in the development and maintenance of an effective system of internal controls that protects the assets of the organization, creates timely, accurate and complete financial reporting, promotes compliance with laws and regulations, and drives continuous improvement in effective and efficient operations.
Licenses & Certifications
Certified Public Accountant (CPA) issued by a State Board of Accountancy.
Degrees
Bachelor's Degree in Accounting.
Required Functional Experience
Typically requires 5 years of experience in accounting, internal controls, and financial reporting with a large, complex organization.
Knowledge, Skills & Abilities
Advanced knowledge of US GAAP, SEC rules and regulations, PCAOB standards and the COSO controls framework. Demonstrated experience in researching accounting literature, including FASB, SEC, PCAOB, and AICPA rules and regulations. Significant experience with internal controls over financial reporting and the requirements of Sarbanes-Oxley Section 404. Demonstrated strategic influence skills, tactical planning skills, time management skills and conflict resolution skills. Excellent written and verbal communication skills and the ability to communicate/collaborate effectively. Demonstrated proficiency in Microsoft Office (Word, Excel, PowerPoint) or similar products. Strong background and experience in the preparation and review of health care financial statements and specific account analysis. Demonstrated ability to understand and analyze the underlying business and its implications on financial accounting and reporting. Demonstrated experience managing and leading complex projects through all phases. Demonstrated ability in handling multiple priorities within tight time frames. Strong leadership skills to initiate and drive process improvements and ability to influence others. Self-motivated, able to work independently, and capable of carrying a project through to successful completion. Internal Controls over Financial Reporting (ICFR) program development or audit experience highly preferred.

Posting Number
| SRGV6274

Working Title
| EXPORT CONTROL MANAGER

Number of Vacancies
| 1

Location
| McAllen, Texas

Department
| Research Compliance and Export Control

FTE
| 1

FLSA
| Exempt

Scope of Job
| Manage the day-to-day operations and provide oversight to the Export Compliance Program at The University of Texas Rio Grande Valley (UTRGV), including the development of trainings, assessment tools, and the implementation of policies and procedures to facilitate compliance with export control regulations.

Description of Duties
| Responsible for identifying and ensuring restricted activities or items and classifying the item or defense services appropriately under the federal export control laws and regulations and determines countries where the exports are restricted.Manages and reviews agreements for export control determinations.Provides guidance, direction, and oversight to assure adherence to federal export control laws and regulations and university's policies and procedures.Conducts export control reviews for a variety of transactions, including, but not limited to, international travel, international shipments, deemed exports, and visitors.Reviews proposals, contracts, and other agreements for export control compliance.Makes export license determinations and ascertains the need for technology control plans as appropriate.Conducts restrictive party screenings and recommends actions as appropriate.Submits requests for commodity jurisdictions, export licenses, advisory opinions, and classification requests to federal agencies.Develops, implements, and monitors technology control plans.Reviews United States Citizenship and Immigration Services (USCIS) Form 1-129 export certifications for visas.Provides consultation on the development, review, and implementation of UTRGV's policies and procedures pertaining to export compliance.Develops, implements, and delivers export compliance training programs.Works closely with internal and external stakeholders to address concerns related to research security and foreign influence.Disseminates program related information and manages website content in the assigned area.Monitors legislative and regulatory changes, summarizes, and prepares action plans.Maintains export documentation and databases; generates reports as requested and/or required.Maintains active membership and participation in relevant professional organizations (e.g., NCURA, SRA, AUECO, etc.).Performs other duties as assigned.

Supervision Received
| General supervision from assigned supervisor.

Supervision Given
| Direct supervision of assigned staff.

Required Education
| Bachelor's degree from an accredited university.

Preferred Education
| N/A

Licenses/Certifications
| Active Export Compliance Professional (ECoP) Certification or ability to secure certification within 18 months of employment.

Required Experience
| Four (4) years of experience in sponsored research, trade compliance, international operations,
or
Three (3) years of the required experience with a Master's Degree from an accredited university.

Preferred Experience
| Direct experience in export licensing and compliance operations in a university setting.

Equipment
| Use of standard office equipment, especially Microsoft suite programs. Standard computer and software stills.

Working Conditions
| Needs to be able to successfully perform all required duties. Exerting up to 10 pounds of force occasionally, and/or a negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects, including the human body. Office Environment; some travel and weekend work is required. UTRGV is a distributed institution, which requires presence at multiple locations throughout the Rio Grande Valley.

Other
| Due to the nature of the work to be conducted and federal regulatory requirements, the individual selected for this position must be a U.S. person as defined by 22 CFR 120.15. Ability to keep up with constantly changing work demands that require the skill to prioritize objectives and exercise independent judgment based on an understanding of institutional policies and procedures. Ability to interact with faculty, staff, and administrators in a supportive and multicultural environment. Ability to analyze complex agreements and transactions and identify workable solutions. Ability to understand and interpret complex regulations on export controls and its implications for academia. Strong interpersonal skills, with demonstrated experience working effectively with members of the research community at large. Excellent verbal and written communication skills and the ability to treat people diplomatically.

Physical Capabilities
| N/A

Employment Category
| Full-Time

Minimum Salary
| Commensurate with Experience

Posted Salary
| Commensurate with Experience

Position Available Date
| 10/12/2022

Grant Funded Position
| No

Primarily responsible for reviewing and managing broker-dealer functions and projects to ensure compliance with SEC, FINRA and other applicable regulations. This includes:

Overseeing and providing compliance support to the assigned business units within a broker-dealer compliance program. Ensure that appropriate regulatory policies, procedures and controls are established, maintained, and well documented. Take ownership of all ongoing compliance review processes and requirements related to assigned areas of coverage. Candidate can, at minimum, be expected to engage in conducting annual test planning and risk assessments, completing branch and home office inspections, monitoring regulatory landscape, liaising with regulators, and drafting policies and procedures. To support these functions, candidate must have a good understanding of related areas, including, but not limited to, customer complaints, registration fillings (U4, U5, BD, etc.), supervision, gifts and entertainment, communications, social media, and training. Candidate will be involved with the review of the current compliance program framework and operations and will be expected to seek enhancements. General knowledge of FINRA and SEC rules and regulations, as well as state regulatory framework. Knowledge of securities products (i.e., mutual funds, ETFs, private funds, and individual securities), compliance, and supervisory requirements.
Other responsibilities may include the following:

May provide guidance to more junior professionals to improve their understanding of compliance, control, and documentation policies. Maintains strong working relationships with outside regulators, government officials and senior business unit managers in order ensure the timely delivery of information and increase the likelihood of favorable conditions for compliance activities.

Analyzes existing and proposed legislation, regulatory announcements, and industry practices to help assigned businesses develop and implement procedures to meet existing and upcoming requirements. Based on assessments of controls, works with business units to implement improvements including the completion of appropriate documentation when control changes are made. Contributes to the development of projects and programs to improve compliance and enhance the control environment. Analyzes control processes to ensure they are in compliance with all applicable laws, rules, and regulations. Validates the appropriateness of control processes or guides the assigned business units in implementing improvements. Contributes to the preparation of time sensitive reporting and appropriately escalates issues to management.

No direct reports, provides guidance to more junior team members, as needed. Contributes to the achievement of team objectives.

Required Qualifications

* Minimum of 5 years of experience as a compliance professional (diversity of experience strongly preferred)
* Experience with rules and regulations applicable to broker-dealers.
* Understanding of SEC and FINRA non-cash compensation and registration rules
* Comfort with ambiguity-capable of solving complex problems independently in a fast-paced environment and adapting along the way
* Ability to initiate and drive projects to completion with minimal guidance
* Exposure to conducting internal reviews and preparing written summaries and regulatory responses.
* Series 7, 24 or 14

Beneficial Qualifications

* Bachelor's degree or an equivalent combination of education and experience
* Financial Services, Audit or Compliance background and/or experience with financial services compliance and/or experience with the assigned products, and the pertaining laws, regulations and rules of relevant regulators preferred.
* Experience with banking regulations, specifically Bank Collective Funds
* Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability

BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.

Our ambition is to build the best global team - one that is representative and inclusive of the diverse talent, clients and communities we work with and serve - and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.