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Financial Regulatory Control Manager

Company: Disability Solutions
Location: Phoenix
Posted on: September 19, 2023

Job Description:

Job Title:Financial Regulatory Control ManagerLocation:CityScapeWhat you'll do:The Financial Control Supervisor (Regulatory Reporting) will assist in the planning, execution, and delivery of internal control test work and quality assurance efforts related to compliance with regulatory reporting requirements including Call Report, FR-Y9C, and other reports. This position will evaluate the design and operational effectiveness of processes and controls as well as evaluate the completeness and accuracy of regulatory reporting through quality assurance testing. The position will assist in identifying root causes of identified issues to strengthen and/or improve controls. This position is responsible for overseeing and reviewing senior and staff level work, including reporting of the results of testing, projects and special assignments.What we are looking for: Responsibilities:

  • Performs work under the direction of the Financial Control Director and Associate Director which can include individual or multiple assignments and/or projects.
  • Participates with and/or supervises less experienced staff.
  • Documents the regulatory reporting controls throughout the Company by managing the comprehensive risk and control matrix and flowcharts as well as automated controls and system interfaces in other process areas.
  • Assists in the development, execution, and reporting of a quality assurance testing program covering regulatory reports such as the Call Report, FR Y-9Cm and others.
  • Maintain control system of record software (Workiva) to provide a well-documented and organized testing work papers.
  • Coaches, trains, and develops staff to improve their knowledge of regulatory reporting risks. Reviews staff senior analyst work to ensure compliance with stated requirements and objectives;
  • Identifies, documents, presents, and assists in impact analysis for control deficiencies; also assists in the development of mitigation strategies
  • Establishes & maintains relationships with the Bank's process and control owners including both staff and management as well as auditors and regulators via periodic and effective communication.Qualifications:
    • Strong organizational, communication and interpersonal skills in order to work with all levels of management are required;
    • Must be effective at communicating issues through written reports, verbal discussions and presentations;
    • A self-motivated, results-oriented professional with experience and success working in a collaborative environment;
    • Ability to deal with complex problems involving multiple facets and variables in non-standardized situations. Ability to define problems, collect data, establish facts, and draw valid conclusions;
    • Exceptional time management skills;
    • Undergraduate degree in Accounting, Finance, MIS, or another relevant field required. A graduate degree is a plus but not required;
    • Minimum five (5+) years of Internal Audit, public accounting, or internal controls experience. A portion of that experience must have been focused on regulatory reporting at financial institutions but can include internal audit, consulting, direct report preparation, or examiner work in the regulatory reporting space.
    • Experience in the financial services industry is required.
    • Two or more years of supervisory experience, direct or indirect.
    • Professional certification of Certified Information Systems Auditor (CISA) or Certified Public Accounting (CPA) is a plus.
    • Detail-oriented and proficient in Microsoft Office applications.
    • Working knowledge of internal control analyses and risk assessment methodologies, COSO framework, Institute of Internal Auditor (IIA) standards, FRB reporting requirements.
    • Ability to travel up to 20%.Compensation Information:Salary range for new hires is generally $132,468 - $163,638. Salary amount reflects New York, salary is determined by specific job location. In addition, the role may be eligible for annual bonus/incentives earned and restricted stock.Benefits you'll love:We offer all the important things you'd want - like competitive salaries, an ownership stake in the company, medical and dental insurance, time off, a great 401k matching program, tuition assistance program, an employee volunteer program, and a wellness program. In addition, you'll have the opportunity to bolster your business knowledge, learning the ins and outs of how successful companies operate and manage their finances, giving you invaluable hands-on experience to help grow your career!About the company:Western Alliance Bank is a wholly owned subsidiary of Western Alliance Bancorporation. Alliance Bank of Arizona, Alliance Association Bank, Bank of Nevada, Bridge Bank, First Independent Bank, and Torrey Pines Bank are divisions of Western Alliance Bank; Member FDIC. AmeriHome Mortgage is a Western Alliance Bank company.Western Alliance Bancorporation is committed to equal employment and will consider all qualified applicants without regard to race, sex, color, religion, age, nation origin, marital status, disability, protected veteran status, sexual orientation, gender identity or genetic information. Western Alliance Bancorporation is committed to working with and providing reasonable accommodations for individuals with disabilities. If you are an individual with a disability and require a reasonable accommodation to complete any part of the application process and/or need an alternative method of applying, please email or call 602-386-2488. When contacting us, please provide your contact information and state the nature of your accessibility issue. We will only respond to inquiries concerning requests that involve a reasonable accommodation in the application process.-- Western Alliance Bancorporation

Keywords: Disability Solutions, Phoenix , Financial Regulatory Control Manager, Accounting, Auditing , Phoenix, Arizona

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