IT Financial Control Risk (SOX) Manager in Windsor, CT at Voya

Date Posted: 5/25/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    1 Orange Way
    Windsor, CT
  • Job Type:
    Management
  • Experience:
    Not Specified
  • Date Posted:
    5/25/2018

Job Description

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Profile Summary

Responsible for providing leadership for risk and controls assessments including SOX testing as it relates to Information Technology. Works with business financial control risk teams, IT leadership, and other risk management disciplines (such as Internal Audit, Operational/Information Risk Management, and Corporate Security) to coordinate coverage of relevant IT risks and to execute risk and control assessments.


Profile Responsibilities

  • Directs and manages annual assessments (testing) plan for assigned area in coordination with business FCR teams and external auditors. This includes testing of management controls, financial controls (including SOX), IT general controls, systems, and policies and procedures to establish the adequacy of the control environment.
  • Partners with other managers and staff to ensure consistency in methodology and application of best practices throughout the performance of annual assessments.
  • Leverages knowledge in the business, systems, financial and legal issues in order to provide high quality recommendations on the control environment and respond to the consulting needs of the business. 
  • Participates in developing the risk-based testing strategy and provides guidance on the risk profiles of business and IT processes and controls. May provide guidance and consulting on business/IT self-assessments related to the effectiveness of controls where applicable.
  • Supports the control and process rationalization efforts and provides recommendations to management on control and process optimization opportunities. Also identifies and recommends opportunities to enhance control testing approaches to maximize efficiency and effectiveness.
  • Participates in the evaluation of identified control deficiencies and their categorization with management and provides guidance on the alternative controls that could be implemented to mitigate the risks.
  • Maintains client relationships and appraises the adequacy of actions taken by management to correct or remediate reported deficient conditions and validates sustainability.
  • Directs and manages the testing process through the application of policies, procedures and methods to perform the testing efficiently and effectively in accordance with professional standards and department best practices. Reviews work performed by the team for consistency and quality.
  • Reports to management on testing progress, developing trends and significant control issues requiring attention.
  • Selects, manages, develops, motivates, directs and appraises staff including remote and external resources.
  • Provides on-boarding and training to the team including internal staff and external consultants.
  • Other duties as assigned.

Knowledge & Experience

  • Bachelor’s degree or equivalent work experience required
  • Professional designation/advanced degrees preferred  (e.g. CPA, CIA, CISA, MBA)
  • 7+ years’ experience in specific business area(s) and/or audit functions (e.g., IT General Controls and other IT-related risk/control assessments)
  • Experience with SOC reporting requirements
  • Proven leadership skills including demonstrated people management experience
  • Ability to build/maintain relationships with and lead/influence remote team members and partners
  • Planning and organizational skills including Project Management
  • Client-oriented, ability to work with different areas (Corporate Audit, Operational/Information Risk Management, IT)
  • Change management skills including the ability to work in a dynamic environment
  • Understand Voya’s confidentiality policies and guard confidential or sensitive information
  • Ability to travel (up to 25%)

#CB

#LI - RC1


Critical Skills
At Voya, we have identified the following critical skills which are key to success in our culture: 

  • Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
  • Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
  • Team Mentality: Partnering effectively to drive our culture and execute on our common goals. 
  • Business Acumen: Appreciation and understanding of the financial services industry in order to make sound business decisions. 
  • Learning Agility: Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.

Learn more about Critical Skills.