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Controls and Audit Analyst

Company: Institutional Shareholder Services, Inc.
Location: Norman
Posted on: January 11, 2020

Job Description:

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 Business.
  • 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 annual basis.
  • Educate business and account management teams on the importance of risk in their activities and its impact on our success.Day to Day Responsibilities:
    • 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 teams.
    • 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 risk.
    • Write and maintain portions of the Controls and Audit Document/Manual with the goal of continuous risk mitigation and process improvement.
    • 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 relevant topics.
    • 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 Service
    • Support the ISS Help Center inquiry management and monitoring as needed
    • 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 a plus
    • Team player and an excellent relationship builder.
    • Demonstrated analytical skills with strong attention to detail.
    • 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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