Sr. Financial Risk & Controls Analyst (SOX compliance)

  • Competitive
  • San Mateo, CA, USA
  • Permanent, Full time
  • Franklin Templeton Investments
  • 17 Dec 17 2017-12-17

Sr. Financial Risk & Controls Analyst (SOX compliance)

Franklin Templeton Investments is a leading global investment management organization due to the efforts of our greatest assets - our employees. We have over 9,000 employees working in 60 offices around the world, servicing investment solutions for our clients in more than 150 countries. We believe in our corporate values of putting clients first, building relationships, achieving quality results, and working with integrity. Our people are dedicated to delivering strong results and exceptional service to clients, team members and business partners.

For more than 65 years, our success has been a direct result of the talent, skills and persistence of our people. We're currently looking for qualified candidates to join our team.

As a Sr. Financial Risk & Controls Analyst, you will work as a member of the Enterprise Risk & Controls team to ensure Franklin Templeton's global compliance with Section 404 of the Sarbanes Oxley Act of 2002, and related corporate governance requirements.

Responsibilities include:

  • Annual review of process documentation company-wide (i.e., flowcharts, internal control matrix).
  • Performance of walkthroughs with business unit contacts and assessment of the design of internal controls for assigned cycles.
  • Evaluate the operating effectiveness of internal controls for assigned cycles; including the coordination of all required work needs with the respective business units, and the external auditors.
  • Development and maintenance of strong relationships with multiple stakeholders, including internal / external customers and auditors.
  • Coaching and development of team members, while maintaining organizational and professional ethical standards and exercising initiative and independent judgment.
  • Evaluating the existence, design effectiveness of processes and controls, including testing of controls to ensure that they are operating and that there is sufficient evidence of procedures being performed. Key steps will include:
    • Designing control audit programs
    • Testing of controls
    • Communicating exceptions resulting from the testing phase to the appropriate level of management for remediation
    • Coordinating, assisting, and reconfirming to ensure that exceptions are appropriately resolved
  • Ensure that appropriate and required documentation in support of key processes and controls are maintained. Responsibility will include:
    • Provide guidance to management of the business units regarding the creation of the required documentation in accordance with Franklin Templeton Standards
    • Monitor to ensure that the inventory of documents is current and up-to-date
  • Consulting with management of the business units in the design and implementation of new or enhanced processes, with the goal of strengthening controls, meeting business objectives and meeting corporate governance requirements.
  • Working with Internal Audit, External Auditors and other key stakeholders in assessing the effectiveness of internal controls.
  • Develop a strong, motivated and skilled professional staff to meet the changing needs of the business and ensuring that appropriate career feedback and training is provided.

Ideal candidates will have:
  • Three to five years of combined experience in internal or external auditing of SOX compliance practices.
  • Bachelor's Degree in Accounting or Finance. Advanced degree a plus.
  • Big 4 Public Accounting experience preferred.
  • Experience with providing advisory support to business unit leaders in the identification and design of controls, remediation of exceptions and process improvement initiatives will be viewed favorably.
  • Certifications such as CPA, CA, CIA, CISA, CFE, and/or MBA are preferred.
  • Work experience in the investment management industry and/or financial sector.
  • Knowledge of regulations governing the investment management industry.
  • Possess a strong understanding of the COSO framework, Sarbanes-Oxley Act (Sections 302 and 404), financial reporting risks, internal controls, US GAAP, and IFRS, with the ability to make control recommendations to successfully mitigate key risks.
  • Solid understanding of business process risk analysis and financial controls testing, in order to design and assess key financial reporting controls testing.
  • Demonstrate the ability to convey clear insights and thought leadership.
  • Be a strong team player, with the ability to multitask and work in cross-functional teams, in order to cultivate leadership abilities and develop operational and financial management skills.
  • Possess a strong work ethic, high degree of motivation and the ability to contribute to a positive team attitude; proven dedication to teamwork, leadership and integrity within a professional environment.
  • Be results driven, able to lead and influence without authority and be flexible with good work prioritization skills.
  • Demonstrate initiative, strategic thinking, sound reasoning, business acumen, and analytical skills.
  • Present complex analysis with clarity and professionalism.
  • Be comfortable interacting with senior level management while portraying a strong professional image.
  • Possess analytical reasoning, creative problem-solving abilities, and strong interpersonal skills.
  • Demonstrate a confident and well-developed communication style, both written and spoken, that establishes credibility and facilitates a clear understanding of SOX issues and influence change where appropriate.
  • Possess well developed project management skills with the focus on timely completion of tasks and ability to identify and assess a changing array of risks.
  • Proficient computer skills including applications within the Microsoft Office suite, including MS Word, Excel, Visio, and related MS Office applications. Ability to learn new or unfamiliar software applications through research, training, and self-instruction
In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of Total Rewards-the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.

Highlights of our benefits include:

* Three weeks paid time off the first year
* Medical, dental and vision insurance
* 401(k) Retirement Plan with 75% company match, up to the IRS limits
* Employee Stock Investment Program
* Tuition Assistance Program
* Purchase of company funds with no sales charge
* Onsite fitness center and recreation center
* Onsite cafeteria

Franklin Templeton Investments is an Equal Opportunity Employer. We invite you to visit us at to learn more about our company and our career opportunities.