Controls and Audit Analyst
Company: Institutional Shareholder Services, Inc.
Posted on: January 11, 2020
The ISS Voting Operations team is seeking an analyst for the ISS
Control & Audit Team. The candidate will be responsible for
supporting the process improvement and quality control function for
various areas within the ISS Governance business. This position
will support the Global Operations and ISS Securities Class Action
Services (SCAS) team on various process improvement and quality
control initiatives. This position will also potentially support
the ISS Help Center.
- Monitor, Identify and mitigate risk within the Voting
- Continuously improve process controls surrounding ballot/vote
processing, account maintenance, N-PX delivery and other critical
areas, to drive efficiency and accuracy within the Voting and
Global Proxy Distribution products.
- Build a comprehensive Controls and Audit Document/Manual to be
posted on-line, update it quarterly and ensure it is shared with
all key business groups.
- Successfully complete SSAE 18 / ISAE 3402 type two audits on an
- Educate business and account management teams on the importance
of risk in their activities and its impact on our success.Day to
- Serve as the control and audit expert for a defined area of
audit responsibility within Voting Operations and Securities Class
Action Services environments.
- Prepare daily, weekly, monthly and ad hoc non-production based
audits and ensure delivery of results to appropriate business
- Manage the control weakness reports process, including perform
root cause analysis of control breakdowns, implement interim
changes and define and implement long-term solutions to mitigate
- Write and maintain portions of the Controls and Audit
Document/Manual with the goal of continuous risk mitigation and
- Prepare and present findings to business leaders, including
developing PowerPoint documents.
- Provide subject matter expertise in pre-sales, up-sell,
on-boarding and ongoing client support activities.
- Drive process improvement implementation in conjunction with
the business and operations teams.
- Provide regular briefings to Client Services and Consultants,
Voting Business, Research, and Securities Class Action Services
staff on critical findings, key process improvements and other
- Conduct quarterly double check of Audits/Controls for one or
more Voting Operations or Securities Class Action Services teams,
including the validation of data within and execution of the teams
workload reports. Assist the teams to ensure that that they have
all necessary audits/reports in place to address risk and all
audits/reports pass the scheduled reviews.
- Provide operational support for the Vote Disclosure
- Support the ISS Help Center inquiry management and monitoring
- Bachelor's degree.
- Previous ISS Operational Experience a plus.
- Excellent oral and written communications.
- Strong problem solving skills.
- Strong computer skills with office applications.
- Ability to create and leverage SQL queries for troubleshooting
- Team player and an excellent relationship builder.
- Demonstrated analytical skills with strong attention to
- Demonstrated Project Management skills defining of scope,
resources and time lines, and managing to deliverables.
- Innovative, motivated, client-oriented and commercially-aware
thinker.ISS Inc. is an equal opportunity employer committed to
diversifying its workforce. It is the policy of the Firm to ensure
equal employment opportunity without discrimination or harassment
on the basis of race, color, religion, creed, age, sex, gender,
gender identity, sexual orientation, national origin, citizenship,
protected veterans or individuals with disabilities, marital and
civil partnership/union status, pregnancy (including unlawful
discrimination on the basis of a legally protected
pregnancy/maternity leave), veteran status, or any other
characteristic protected by law.ID: 2019-2873 External Company
Name: Institutional Shareholder Services Inc External Company URL:
www.issgovernance.com Street: 1 Partner Place
Keywords: Institutional Shareholder Services, Inc., Norman , Controls and Audit Analyst, Accounting, Auditing , Norman, Oklahoma
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