Senior SOX Compliance and Controls Analyst

  • Competitive
  • Charlotte, NC, USA
  • Permanent, Full time
  • Brighthouse Financial, Inc.
  • 18 Feb 18 2018-02-18

Senior SOX Compliance and Controls Analyst

Brighthouse Financial is a new company established by MetLife. We're on a mission to help people achieve financial security. Built on a foundation of industry knowledge and experience, we specialize in offering essential annuity and life insurance products designed to help customers protect what they've earned and ensure it lasts more predictably. In an industry that often has a reputation for complexity, confusion, and cost, Brighthouse Financial is different. Our approach includes simplicity, transparency, and more value so customers can face the future with confidence.

Brighthouse Financial is seeking passionate, high-performing team members to help us carry out our mission and be part of an exciting journey toward improving the financial futures of our millions of customers. Sound like you? Read on.

Role Value Proposition:
As a publicly-held company, Brighthouse management must assess the company's internal controls over financial reporting (ICFR) in order to comply with Sarbanes-Oxley Act of 2002 (SOX), SEC regulations, and the Model Audit Rule (MAR) requirements. This position will be responsible for SOX/MAR initiatives supporting the assessment of the Company's internal controls over financial reporting, framework based on COSO (Committee of Sponsoring Organization).

Key Responsibilities:
This position will support the enterprise in activities related to ICFR compliance. In addition, this position will also be responsible for activities performed by/within FCD for SOX initiatives. Primary responsibilities include but are not limited to:

  • Assist in the quarterly SOX 302 certifications process.
  • Maintain inventory of risks and controls over financial reporting within the GRC Tool.
  • Support designated process owners with remediation activities of SOX/MAR deficiencies.
  • Oversee the documentation of controls and risk assessments for SOX/MAR including outside service providers (OSPs) in collaboration with designated process owners.
  • Guide and support business process owners with controls review, design, and implementation.
  • Execute planning activities including scope determination for SOX/MAR processes including financial statement analysis and linkage to SOX/MAR business processes.
  • Review ledger/account line item to prepare summarized ledger financial data to support legal entity materiality and deficiency analysis.
  • Monitor quarterly Process Owner attestations for issues that arise and analyze results for program impact.
  • Liaise with Internal Audit to facilitate completeness of the scope of SOX/MAR testing.
  • Perform Deficiency evaluation and prepare reporting.
  • Review and document with management any exceptions identified during walkthrough or testing of controls, provide recommendations for remediating activities, and work with process owners to develop management action plans, monitor the status, and test the completion by the due date.
  • Support External Audit testing.

Essential Business Experience and Technical Skills:
  • Minimum 5-8 years with progressive experience in auditing, internal controls, or financial operations/reporting.
  • Working knowledge SOX, MAR and COSO (or similar) internal controls framework, as well as relevant Public Company Accounting Oversight Board (i.e., Audit Standard 5) guidance.
  • Strong working knowledge of business processes and controls, including IT, End User Computing, and Entity Level Controls, particularly related to the financial close process and investments.
  • Experience in auditing/reviewing the work of external service providers including working knowledge of SSAE18/SOC reports and Complimentary End User Controls.
  • Ability to collaborate effectively with individuals of all levels of the corporate structure.
  • Demonstrated ability to achieve results by working independently.
  • Demonstrated ability to lead work teams and coordinate activities with risk management partners.
  • Demonstrated ability to work in a fast-paced organization and be able to manage/balance multiple priorities and projects.
  • Excellent interpersonal and communication skills (written, oral and presentation) and ability to establish strong networks with internal and external stakeholders
  • Highly developed judgment and problem solving/critical thinking skills to analyze risk issues and assist with formulating solutions
  • Good business acumen and understanding of key financial/operational processes.
  • Proficient use of all Microsoft Office programs, as well as Outlook and Visio
  • Graduate or undergraduate degree/major in accounting, risk, or related financial field.
  • Minimal travel.


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