Robert Half International Financial Compliance Audit Lead in Cincinnati, Ohio
Robert Half Direct is partnering with a leading specialty insurance company seeking a Financial Compliance Audit Lead to join their team. The Audit Lead will be responsible for designing and implementing the organization’s Specialty Clients (SC) Partner audit program to help drive strategic objectives with the business. The Audit Lead ensures audits are completed objectively, professionally, and in accordance with corporate and industry audit standards. The audits will include internal controls over financial reporting, including applicable Entity Level Controls (ELC) and IT General Controls (ITGC). The person in this position will drive group discussions on the state of the control environment, status updates and to offer suggestions on quality improvement, scope refinement, risk assessment strategies, and continuous process improvement within the SC and MARSOX groups.
Additionally, the Audit Lead provides support for the financial processes by acting as a quality control mechanism for internal SC financial compliance activities. This includes enhancing/maintaining the end to end mapping of SC processes; executing and/or reviewing internal SC control testing, identifying control gaps and works to support financial compliance remediation plans.
Responsibilities for this position include, but are not limited to the following:
• Leads identifying and analyzing the inherent financial and operational risks in the agent’s business.
• Defines and develops the audit scope based on the agent’s identified financial risks.
• Develops and builds the audit plan on a risk-based approach. Ensure the audit plan design includes a comprehensive and practical audit coverage considering degree of risk, significance and audit frequency of the audit area.
• Works with internal management in order to gain understanding of the agent’s processes. Ensures documentation for all material processes are developed, reviewed and updated periodically.
• Ensures the effectiveness of internal controls in compliance with corporate objectives and government standards such as the Sarbanes-Oxley Act (SOX) and/or the Model Audit Rule (Annual Financial Reporting Model Audit Rule.
• Leads, implements and executes partner audits from beginning to end (audit life cycle) to include understanding horizontal and vertical impacts across the entire partner organization (i.e. ability to cross matrix).
• Leading fieldwork and keeping engagement leaders updated on audit status
• Completing audit processes and documenting higher-risk areas
• Constantly developing your understanding of current processes and sharing your knowledge with the broader team
• Completes documentation including testing templates, working papers, and accumulation of evidential matter in accordance with established audit standards.
• Establishes and documents agreement with management by working through audit issues.
• Offers value-added recommendations to management regarding internal control testing results.
• Collaborates with Financial/Operational auditors to align testing results
• Identifies, documents and develops recommendations for control deficiencies.
• Develops tools and processes to enhance effectiveness and efficiency of audit activities.
• Executes and/or reviews internal MAR/SOX and applicable ELC and ITGC control testing associated with the agent’s business
• Builds and develops relationships both internally within Audit and externally with agents and control partners to help drive strategic objectives with the business. Ensures engagements are completed objectively, professionally, and in accordance with corporate and industry audit standards.
• 5+ years of financial statement audit experience with emphasis on compliance and controls including development and testing of internal risks and controls; preferably Big 4 accounting firm experience
• Bachelor’s degree in Accounting, Finance, MIS, Computer Science or related field, required
• CISA, CPA or CIA designation, highly preferred
• Understanding of Statutory Accounting Practices (STAT) with in-depth knowledge of primary property & casualty insurance is required. Industry certifications/designations are preferred (e.g. ARM, MCM, CCEP, CIA, SCLA, CPCU, etc.)
• Understanding of International Financial Reporting Standards (IFRS), preferred
• Experience leading the planning, execution and reporting on SOC and IT audits is preferred
• Proven project management skills
• Experience with work optimization processes.
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© 2020 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans.
Salary: $75,000.00 - $100,000.00 / Yearly
Location: Cincinnati, OH
Date Posted: October 16, 2020
Employment Type: Full-time
Job Reference: 31000-9502728426
Staffing Area: Full-Time Accounting u0026 Finance
Robert Half International
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