COMPLIANCE SUPERVISOR

Compliance Supervisor (Senior Finance Analyst) will have responsibility for the fulfillment of the SOX and compliance programs under the L2 Risk Management and Compliance Monitoring (RM&C) pillar of the GS Compliance organization.
Activities include but not limited to walk-throughs, review and alignment of SOX results, remediation, monitoring and corporate reporting.
This role will be reporting to the GS Finance Compliance Manager and will support the specific processes within GS Manila Global Hub.
He/she is expected to have more engagement with various business partners globally including senior leaders across the organization and handle more complex markets, sectors or MRC.
He/she is required to have deep knowledge in finance processes and controls, strong analytical and risk management skills.
Duties & Responsibilities.
Effective Risk Management and Compliance through minimization of financial and operational risks associated with the internal control environment, along with the design and implementation of internal controls by providing recommendations for continuous process and control improvements.
This includes the following.
§ Assist Compliance Manager in the implementation of compliance initiatives and related activities such as, performing due diligence reviews, Risk Based Assessment monitoring, Audit, Corrective Action Planning & Remediation, Advisory, Training and other compliance support needed by GS Finance § Perform advisory and consultation related to accounting standards interpretation and implementation, adoption of new control requirements as per ICG, WWP and DTPs.
§ Identify compliance risks in processes and controls and help ensure such risks are addressed.
§ Help oversee the operational compliance to internal policies and procedures to assure that the current processes are operating under a state of control and in a manner consistent with applicable laws, regulations and policy.
§ Assist in the completion of SOX requirements and ensure that Corporate SOX deadlines are timely and effectively achieved.
§ Assists in internal audit / risk-based reviews support coordination by partnering with key business stakeholders, PWC and Global Audit & Assurance team in identifying and remediating controls gaps.
§ Partner with other members of the Compliance team on the formulation of responses to corporate audits to address various audit observations.
Collaborate with stakeholders in the identification and implementation of corrective actions.
Ensure effective and timely completion of all corrective actions.
§ Monitor progress of Corrective Action Plan (CAP) to ensure prior audit recommendations (GAA, PWC or other Regulatory Agency) and key control gaps per SOX testing are implemented and to ensure that other internal control gaps are closed timely and effectively.
§ Liaise and provide compliance status related to issues, policies, procedures and recommendation as necessary to stakeholders, including senior leaders.
§ Conduct compliance due diligence for transition in-scope.
§ Perform control walk-through, operational testing and discuss the findings with the process owners.
§ Partner with Global Project Teams in providing compliance support through various deployments to enhance controls through standardization of tools & reports.
§ Coordinate compliance training as required.
Enable/Support implementation of policies and standards across all sites within scope of role in the region.
§ Manage multiple projects, when required, prioritizing and adapting to business needs and understanding of business requirements is expected.
§ Perform other ad hoc responsibilities as required.
Qualifications Education.
§ University/bachelor’s degree or Equivalent in Accounting or Finance.
Relevant professional certification(s) strongly preferred (i.
.
CPA, CMA, CIA, etc.).
Experience and Skills.
Required.
§ Generally requires 5-8 Years Work Experience in SOX 404/Internal or External Audit and/or compliance function.
§ Possesses strong decision-making skills and demonstrates decisiveness.
§ Has very strong influencing and persuasion skills.
Preferred.
§ Highly knowledgeable on financial and accounting practices, policies and standards.
§ Has expertise on internal controls, risk management and assessments, global shared services and business driven processes and methodologies.
§ Strong technical background in SOX 404 requirements such as walkthroughs, test of controls, entity level controls and etc.
§ Works efficiently and effectively at a minimum supervision and works well under pressure.
Other Requirements.
§ High proficiency in English communication skills whether written or verbal.
§ Proficiency in basic MS Office applications (Excel, Outlook, PowerPoint, Word) required.
§ Automation and innovation driver, a plus.
§ Willing to work on extended hours during critical deadlines if necessary.
§ Willing to travel (as needed).