First Vice President & Manager of Sarbanes-Oxley Compliance

The Manager of Sarbanes-Oxley Compliance has responsibility for Sarbanes-Oxley Compliance including planning, scoping, execution (walkthroughs and testing coordination), monitoring, deficiency analysis and reporting.

 

ESSENTIAL JOB FUNCTIONS:

 

·  Performs the annual planning and scoping for the 404-assessment process in coordination with the Finance Department and Internal Audit Department.

 

·  Works with management (Bank wide) to recommend and implement best practice solutions, which enhance the internal control environment and operational efficiency of the Bank.

 

·  Monitors change in business, process and systems to ensure timely identification and assessment for 302 and 404 compliance.

 

·  Coordinates closely with cross-functional teams (Internal Audit, Finance, Independent Asset Review, and Enterprise Risk Management etc.) to ensure an efficient and a synergistic approach to overall risk management and testing of internal controls.

 

·  Evaluates audit findings of internal and external auditors, bank regulators and management to identify control deficiencies and assist with their remediation.

 

·  Monitors and reports identified control design and effectiveness deficiencies and drives the remediation efforts.

 

·  Provides on-going training to business units on internal controls over financial reporting and related responsibilities.

 

·  Periodic reporting to senior management and executive management (when required).

 

·  Support ongoing enhancements to the design and functionality of the Bank's automated Risks and Controls monitoring software tool (Paisley's Risk Navigator).

 

MINIMUM REQUIREMENTS: 

 

·  Bachelors Degree in Business, with an emphasis in Accounting or Finance OR Bachelors Degree in Accounting.

 CPA, MBA, CFA or CIA preferred .

 5 to 10 years of  experience in Audit with a Big 4 Firm working on public companies, or significant management experience in a Finance Department and responsibility for Sarbanes-Oxley compliance (experience in financial services preferred).

 A proven record of accomplishment of effectively managing projects and prioritizing tasks. Must have the ability to plan, execute and deliver on projects in a timely manner.  Ability to effectively multi-task.

 Excellent interpersonal/communication skills with the ability to build strong professional working relationships.

 Ability to work effectively across all divisions, functions and geographical locations (East and West Coast in US and Asia) as well as  in a cross-cultural environment (knowledge of Cantonese and Mandarin helpful, but not required).

 Strong presentation skills with experience reporting to senior management/Board committees.

 Action and results oriented with a positive attitude and the ability to overcome obstacles.

 High level of integrity and ethical values.