Financial Risk Analyst, First Line Control Testing

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

The 1st Line of Defense (LOD) is responsible for performing testing and monitoring to evaluate the effectiveness of internal controls established to mitigate identified risks.  These individuals exhibit a deep understanding of the LOB including applicable systems, tools, policies and procedures and are adept at identifying procedural gaps and deficiencies. Financial Risk Analysts will evaluate the design adequacy of the financial control in addition to the operating effectiveness.  Qualified persons should be experienced in risk mitigation, relationship management, and Financial Reporting.

What you’ll do:

  • Participate in the design and successful execution of Financial Control examinations and provide strategic and proactive consultation in identifying risk exposures and developing solutions for internal control weaknesses and regulatory compliance issues
  • Ability to understand and translate SOC-1, SOC-2, SOX and other Financial Risk and Control frameworks to coordinate internal control examination processes with varying risk partners
  • Understand scope of examination and prioritize examination activities to adhere to testing schedule and complete evaluation according to planned timelines and standards set by Corporate and Regulatory standards
  • Evaluate the effectiveness of financial controls in place to mitigate identified risk; review evidence, document testing results in a comprehensive and organized manner; Develop recommendations to correct deficiencies and provide ideas for process improvements
  • For issues identified where controls can be enhanced to ensure compliance with firm or regulatory requirements, support business partners and senior leadership by monitoring action plans to ensure root cause of control deficiencies are resolved in a timely manner 
  • Maintain a strong working knowledge of federal and/or state fiduciary compliance regulatory requirements applicable to the assigned areas of the review

This is a summary only and duties and responsibilities may be changed from time to time, or over time.

Job Info.
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Denver, United States