Director of Financial Controls Compliance

United Community Bank•Greenville, SC

12d

About The Position

The Director of Financial Controls Compliance leads an effective, risk-based Internal Controls over Financial Reporting and Sarbanes-Oxley (SOX) governance program for a high-growth bank under large bank supervision. The role develops the annual program plan with internal and external partners, directs execution, and oversees process-improvement initiatives. It requires broad experience across internal controls, including risk assessment, documentation, testing, and information technology controls, as well as strong leadership, stakeholder-influence, and communication skills. This position manages employees and is responsible for their coaching, development, and performance management. It operates in a professional office environment, uses standard office equipment, requires schedule flexibility for evenings and weekends as needed, and involves up to 10% travel. The position is full-time and exempt. Candidates must pass a criminal background and credit check.

Requirements

Bachelor's degree in Accounting, Finance, or a related field.
At least 10 years of experience in internal audit, risk, or controls.
At least 5 years of proven leadership experience managing direct reports and executive-level reporting.
Implementation and management experience with end-to-end SOX compliance, including risk assessment, control design, and testing strategies.
A professional certification is required and may include CPA, CIA, or CISA; a master's degree is also listed as an option.
Sound understanding of IT general controls (ITGC) needed to evaluate the integrity of data used to support financial reporting.
Advanced understanding of financial statements, financial analysis, and business strategies in the financial services industry, including financial reporting processes and the internal control environment.
Strong knowledge of GAAP, COSO, PCAOB Auditing Standards, Sarbanes-Oxley, risk and controls standards, and banking regulations.
Strong written and verbal communication and interpersonal skills, including experience managing direct reports and delivering executive presentations.
Proficiency in Visio, PowerPoint, Excel, Word, Outlook, and WDesk; knowledge and proficiency in audit software and SOX compliance software.
Ability to assist with problem-solving across banks, activities, departments, and the holding company, and serve as a resource for senior managers.
Ability to perform functions with minimal oversight.
Project management skills and ability to meet deadlines.
Must pass a criminal background and credit check.
Ability to meet the position's physical requirements, including sedentary work, climbing, standing, stooping, or typing.
Ability to work evenings and weekends as needed and travel up to 10%.

Nice To Haves

Experience with financial statement audits of mid-to-large financial services entities.
Overall knowledge of general accounting and audit procedures.

Responsibilities

Manage annual and quarterly SOX compliance processes, documentation, and assessments, including scoping, process walkthroughs, and assessment of control design and effectiveness.
Establish regular communications with Disclosure Committee executives about scoping, assessment progress, key control testing, and control deficiencies in system design or identified through testing failures.
Oversee remediation of deficiencies identified during testing and evaluate any remaining deficiencies.
Maintain working knowledge of laws and industry guidance for establishing, maintaining, and reporting on internal controls, including regulatory requirements for financial services institutions.
Advise and consult with business process owners when processes and controls are designed, modified, or streamlined.
Develop and produce reports on SOX project status, trends, and remediation of deficiencies.
Partner with or serve as liaison between business process owners, Internal Audit, and External Audit.
Participate in required compliance training, including Bank Secrecy Act/anti-money laundering training and internal and external training programs, online training, meetings, seminars, and conferences.
Coach, develop, and manage the performance of direct reports.
Perform other duties, responsibilities, and activities as assigned.