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Finance Manager, Risk & Controls
US-AL - 35275
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Advisor Group Careers

Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Corporate Accounting Leadership Opportunity in Financial Services

Financial Risk & Controls Manager

Preferred Locations: Phoenix, AZ, Omaha, NE, Atlanta, GA, Oakdale, MN, St. Petersburg, FL

Consideration will also be given to qualified applicants seeking 100% remote work from home.


The Financial Risk & Controls Manager will help develop and lead Advisor Group's Sarbanes Oxley (SOX) compliance program. This Manager role works with individuals and teams across the organization to maintain adequate controls and support the Company's strategic objectives. The Financial Risk & Controls Manager position also supports the growth of the control environment by providing training on risk and control topics and collaborating with other risk partners.

Manage the overall SOX compliance program for Advisor Group, including risk assessment, risk, and control identification, design assessments, operating effectiveness testing, and deficiency evaluation. (45%)
Perform project management to ensure SOX program goals are being met timely and accurately (15%)
Provide training as necessary to control owners and others, as applicable, to ensure an effective SOX program (10%)
Coordinate with other risk groups and the external auditor to ensure program alignment and efficiency (10%)
Communicate clearly, timely, and efficiently with stakeholders and members of management to provide status updates, identify and resolve issues, and report on any matters as needed. (10%)
Manage and develop the team through coaching and performance feedback to help meet the organization and personal goals. (10%)
All other duties as assigned.

Education Requirements:
Bachelor's Degree from an accredited university in Accounting is required; Master's Degree in Accounting preferred
CPA and/or CIA preferred

Basic Requirements:
3 - 5 years of previous work experience in the Financial Services Industry experience required
1 - 3 years of experience supervising employees directly
4 or more years of experience in public accounting, including experience auditing the internal control over financial reporting of publicly traded companies
Proficiency with:
Section 404 of the Sarbanes-Oxley Act of 2002
Internal Control-Integrated Framework (2013) issued by the Committee of Sponsoring Organizations of the Treadway Commission (COSO)
Auditing Standards of the Public Company Accounting Oversight Board (PCAOB)
Excellent leadership skills
Strong communication, collaboration, and presentation skills
Adaptive to change and considerable variety in the workplace.
Advanced logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
Advanced communication to others to convey information effectively as well as communicating effectively in writing as appropriate for the needs of the audience
Intermediate knowledge of financial services industry trends, directions, major issues, regulatory considerations, and trendsetters; ability to provide specific financial knowledge and experience to help organizational development.
Intermediate knowledge of and ability to utilize processes, tools, and techniques for detecting, addressing, and preventing fraudulent situations.
Intermediate creativity and alternative thinking skills to develop new ideas for and answers to work-related problems.
Advanced ability to consider the relative risks and benefits of potential actions to choose the most appropriate one.
Intermediate motivating, developing, and directing people as they work, identifying the best people for the job.
Advanced ability to develop constructive and cooperative working relationships with others and maintain them over time.
Advanced administration of own time and the time of others and the ability to shift back and forth between two or more activities or sources of information.
Intermediate knowledge of functions, features, and applications of Microsoft Office; ability to use the cross-functional features of its applications to enhance overall organizational efficiency.
Current Employees and Contractors Apply Here

Advisor Group

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