Job Location: Bangalore
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Job Description
Lead Analyst- Credit Risk
The GDC Lead Analyst of Credit Risk and SOX is responsible for supporting various Sarbanes-Oxley (SOX) compliance requirements within the Credit Administration department. This role will execute various SOX tasks, support the responsibilities of the GDC Sr. Manager of Credit Risk and SOX, and handle all forms of communication, coordination and escalation procedures with business owners as it relates to their controls.
Additionally, when new or revised business processes occur, this role may support the GDC Sr. Manager and Credit BROs when consulting with the business units and other related teams to help identify, design, or draft templates to be used for internal controls that will meet SOX compliance requirements.
Essential Functions
Manage Communication and Relationships
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Builds healthy cross-functional relationships among various departments to achieve alignment in timelines, deliverables and anticipated results
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Sends out communication, coordinate scheduling, follow up on obtaining deliverables, and escalate delays and issues as they relate to business owners and their controls (e.g. Certifications, PBC requests, answers to questions, scheduling meeting requests, and PIO/Deficiency remediation cycle)
Maintain Credit Risk and SOX programs
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Monitor and review the completeness, accuracy, and timeliness of data in Workiva, including narratives, flowcharts, risk control matrix + related attributes, certifications, PBCs and IPEs (information provided by entity such as spreadsheets, reports, queries)
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Assess controls design and execution of management review controls and information provided by entities (e.g. spreadsheets reports, queries and code logic) to ensure they address all SOX requirements.
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Reviews working papers delivered by control owners to ensure all documentation is complete, relevant, appropriate and in accordance with professional standards. Identify gaps and escalate any issues Any gaps will be communicated to business owners and in some cases, may require additional meetings and assistance to bring it up to standards.
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Reviews certifications from business owners and identifies action items for downstream impact (i.e. New / Changes to process and controls, control description and attributes, IPE inventory list, and baseline reports)
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Provides comments on missing or insufficient documentation and follow up to obtain updated documentation
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Obtain responses / explanation to auditor questions (may require independent research
Support Credit Risk and SOX programs:
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Supports various components of the Credit Risk and SOX program for the Credit Administration organization, such as risk assessment, scoping, planning, narrative / flow chart updates, gap assessments, controls design and implementation, process improvements, remediation efforts, and deficiency assessment
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Participates in walkthroughs, asks questions to obtain a detailed understanding of a process / control and identifies relevant risks, gaps and process improvements, and draft notes / take away after meetings
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Assesses control issues and partners with business owners to help articulate the root cause, analyze the actual and potential impact, develop correction plans, and conclude on final assessment.
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Monitors action plans to ensure timely remediation of issues.
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Provide quarterly reporting of risk metrics
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Contribute to any other projects or risk related activities as required.
© 2021 SVB Financial Group. All rights reserved. SVB, SVB FINANCIAL GROUP, SILICON VALLEY BANK, MAKE NEXT HAPPEN NOW and the chevron device are trademarks of SVB Financial Group, used under license. Silicon Valley Bank is a member of the FDIC and the Federal Reserve System. Silicon Valley Bank is the California bank subsidiary of SVB Financial Group (Nasdaq:
SIVB
).
Equal Employment Opportunity
Silicon Valley Bank is an equal opportunity employer and is dedicated to expanding its commitments and investments to create a more diverse, equitable and inclusive company culture and innovation ecosystem. We are strongly committed to the values and policy of equal employment opportunity across our employment practices.
Silicon Valley Bank is registered in England and Wales at Alphabeta, 14-18 Finsbury Square, London EC2A 1BR, UK under No. FC029579. Silicon Valley Bank is authorised and regulated by the California Department of Business Oversight and the United States Federal Reserve Bank; authorised by the Prudential Regulation Authority with number 577295; and subject to regulation by the Financial Conduct Authority and limited regulation by the Prudential Regulation Authority. Details about the extent of our regulation by the Prudential Regulation Authority are available from us on request.
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