Risk and Controls Manager – SOX/ICFR

Corient; Miami (FL); On-site; USD 120,000 - 180,000; Full time

Benefits offered by this job

401(k) Plan with Employer Matching

Medical Plan options subsidized by the company

Employer paid Dental and Vision Insurance

Paid Maternity & Parental Leave

Training Reimbursement

Volunteer days

Training reimbursement

Job summary

A leading wealth management firm in Miami is seeking a Risk and Controls Manager to oversee the design and implementation of financial controls. The role involves ensuring compliance with SOX/ICFR requirements, leading control testing, and collaborating with various teams to enhance the control environment. Candidates should have significant experience in financial services and proficiency in data analysis tools. Competitive salary and performance incentives offered.

Qualifications

• 7-10 years of relevant experience in SOX/ICFR or internal audit.
• Prior experience in a wealth management or financial services organization.
• Comfortable working onsite 4 days a week.
• Must be able to work onsite and collaborate across Finance, Technology, Data and Operations.

Responsibilities

• Evaluate the control environment and design controls.
• Lead control testing activities and support remediation efforts.
• Provide controls advisory on transformation initiatives.
• Collaborate with internal/external auditors for quarterly/annual testing.
• Provide controls advisory on transformations, IT/system implementations, and M&A integrations.
• Maintain comprehensive controls documentation with narratives, flowcharts and matrices.
• Report control effectiveness and gaps to senior stakeholders, including exec-level presentations.
• Bridge Finance, Technology, Data and Operations to meet control objectives.

Skills

Strong knowledge of SOX 404

Understanding of US GAAP

Experience with controls testing

Proficiency in data analysis tools

Familiarity with ERP systems

Experience in M&A environments

Risk assessments

Education

Bachelor’s degree in Accounting or Finance

CPA or CIA preferred

Tools

Excel

SQL

Power BI

Alteryx

Workday

Oracle

SAP

Job description

At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations. We focus on exceeding expectations, simplifying lives, and establishing legacies that last for generations. We are always looking for talented and motivated individuals to join our team.

Overview

We are seeking a seasoned Risk and Controls Manager to join our Corient Finance team as we continue to scale and build out our M&A-driven wealth management platform. This role designs, implements, documents, and tests financial controls across BAU and Change initiatives with a strong focus on SOX/ICFR compliance, accounting acumen, and advanced data skills.

Responsibilities

• Partner with BAU and Change teams to evaluate the control environment, design controls, identify gaps, and embed financial controls across new and existing processes.
• Ensure controls are aligned with SOX/ICFR requirements and scalable for a multinational footprint.
• Lead walkthroughs, plan and perform control testing activities, and assist with remediation efforts.
• Collaborate with internal and external auditors to support quarterly and annual testing cycles.
• Provide controls advisory on transformation initiatives, including system implementations, process redesigns, and M&A integrations.
• Maintain comprehensive controls documentation, including narratives, flowcharts, and risk/control matrices.
• Report control effectiveness and gaps to senior stakeholders, including executive-level presentations on project findings and recommendations.
• Act as a bridge between Finance, Technology, Data, and Operations teams to ensure control objectives are met.
• Educate stakeholders on control requirements and best practices.

Required Hard Skills

• Strong knowledge of SOX 404, ICFR, and COSO framework
• Solid understanding of US GAAP, IFRS and financial reporting processes
• Experience with controls testing, risk assessments, and remediation planning
• Proficiency in data analysis tools (e.g., Excel, SQL, Power BI, Alteryx)
• Familiarity with ERP systems (e.g., Workday, Oracle, SAP)
• Experience in M&A environments and integrating controls across entities

Preferred Soft Skills

• Strategic thinker with a problem-solving mindset
• Excellent communication and stakeholder management skills
• Ability to influence cross-functional teams and drive accountability
• High attention to detail and strong documentation discipline
• Comfortable working in fast-paced, ambiguous environments
• Ability to work both independently and in a team environment, shifting between the role of an individual contributor, team player and project manager

Qualifications

• Bachelor’s degree in Accounting, Finance, or related field (CPA or CIA preferred)
• 7–10 years of relevant experience in SOX/ICFR, internal audit, or financial controls
• Prior experience in a wealth management, financial services, or multinational organization is highly desirable
• Location: Miami, FL (travel required to/from NYC and possibly other office locations)
• Reporting Line: Dual reporting to the Accounting Lead and Change Management Lead
• Experience Level: 7–10 years
• Compensation: Competitive salary + performance-based incentives

Physical Requirements

• This position requires the physical capabilities to work in an office environment, which may include prolonged periods of sitting at a desk and working on a computer. Corient seeks to make reasonable accommodations that enable individuals with disabilities to perform essential duties when possible.
• This position may require the ability to lift up to 15 pounds.
• This position is required to work onsite 4 days per week.

U.S. Eligibility Requirements

• Must be 18 years of age or older.
• Must be willing to submit to a background investigation; any offer of employment is conditioned upon the successful completion of a background investigation.
• Must have unrestricted work authorization to work in the United States. Corient hires U.S. citizens or permanent residents. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. Corient will require proof of work authorization.
• Corient participates in E-Verify and will provide Form I-9 information to confirm work authorization. If E-Verify cannot confirm, the employer will provide instructions and an opportunity to resolve the issue before terminating employment.

What You Can Expect from Us

• 401(k) Plan with Employer Matching
• Four Medical Plan options subsidized by Corient
• Employer paid Dental, Vision & Life and AD&D Insurance
• Employer paid Short-term & Long-term Disability
• Paid Maternity & Parental Leave
• Flexible Spending Accounts & Health Savings Accounts
• Dependent Care FSA
• Commuter & Transit FSA
• Training Reimbursement
• Paid Professional Designations
• Giving back to the community - Volunteer days

Corient is committed to an equal opportunity employer. All candidates will be recruited and employed without regard to sex, race, religion, marital status, veteran status, age, national origin, sexual orientation, gender identity, color, creed, ancestry, disability, genetic information or any other basis prohibited by law.