• Process Control Analyst

    Job Locations
    US-CA-San Francisco

    At First Republic, we care about our people. Founded in 1985, we offer extraordinary client service in private banking, private business banking and private wealth management. We believe that personal connections are everything and our success is driven by the relationships we form with our colleagues and clients. You’ll always feel empowered and valued here.


    Incredible teams doing exceptional work, every day.

    In Accounting, we’re responsible for recording and reconciling financial transactions, processing vendor payments, processing payroll, calculating and remitting taxes. We also produce external and internal financial reports and interpret accounting guidance.



    Common goals, uncommon potential

    The Sarbanes-Oxley (SOX) Business Process (BP) Analyst is responsible for supporting the BP related components of the SOX Program and help to continually enhance the program to keep up with the dynamic growth of the Bank. The responsibilities include completing and maintaining the SOX risk assessment, fraud risk assessment, scoping and materiality assessments, completion of BP walkthroughs and controls testing, while also coordinating with the Bank’s external auditors.


    The SOX BP Analyst will work closely with business unit SOX Liaisons to ensure that Internal Controls Over Financial Reporting (ICOFR) are appropriately designed and are operating effectively, SOX compliant control documentation is maintained and that any BP ICOFR deficiencies are assessed for severity and remediated.


    The BP Analyst will report to the BP Manager and will work with a mix of internal and external co-sourced team members to execute Program activities. In addition, the BP Analyst will be involved in special projects related to systems and new accounting standards implementations while assessing their impact on SOX and ICOFR.


    What you’ll do as a SOX BP Analyst:

    • Support the BP Manager in completing the annual SOX scoping and materiality assessments, risk assessment, as well as the Fraud Risk Assessment to ensure compliance with COSO standards and appropriate scoping and coverage of the SOX Program.
    • Coordinate with each business unit SOX Liaison all SOX-related activities, including walkthroughs, testing, and remediation activities.
    • Execute on SOX BP testing with the identification and documentation of SOX Key Controls, and assist the business in enhancing their process documentation.
    • Assess BP ICOFR deficiencies and monitor BP remediation activities. Conclude on the effectiveness of BP ICOFR.
    • Work closely with the Bank’s Vendor Management group, and SOX Liaisons to help identify End User Controls and SOC 1 Type II report reviews.
    • Work closely with the external auditors to ensure the SOX Program meets their requirements in terms of scope, timing and approach; work to align testing approach in efforts to increase auditor’s reliance on SOX Program.
    • Assist the BP Manager in preparation of BP related materials for the SOX Reporting Committee.
    • Ensure the overall quality, consistency, risk management and adherence to the Corporate SOX Policy.
    • Support the team in the continuous enhancement of the Program with the potential implementation of a SOX workflow application to automate the SOX process including reporting and systematically connect workpapers.
    • Assist the BP Manager in performing assessments of SOX impact of new initiatives including system implementations/updates, new accounting standards, and various special projects.
    • Support the team by sharing information among the SOX Program Office team, transferring knowledge and providing examples of high-quality documentation, as appropriate. Foster and maintain group spirit and high team morale.
    • Be viewed as a team player, consultant and internal controls resource as part of building and maintaining ongoing relationships with business units.
    • Responsibilities also include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.


    You could be a great fit if you have:

    • One to Five years of BP SOX related experience (Senior Analyst position available for the more seasoned candidates). Should have experience focused on SOX, ICOFR, COSO Framework, process walkthroughs, and baseline understanding of IT controls.
    • Prefer banking and/or financial services experience primarily focused in SOX or internal audit, enterprise-wide risk management and ICOFR controls consulting.
    • Ability to produce quality deliverables within defined budget and timeframes..
    • Demonstrate strong teamwork, organizational, analytical, and communication skills.
    • Professional certification(s), such as CPA, CFA, CIA and/or PMP are preferred.
    • Big 4 Accounting Firm experience is preferred.

    Job Demands:

    • Must be able to review and analyze data reports and manuals; must be computer proficient.
    • Must be able to communicate effectively via telephone and in person.

    Own your work and your career — apply now

    Are you willing to go the extra mile because you love what you do and how you can contribute as a team? Do you want the freedom to grow and the opportunity to take charge of your own career? If so, then come join us.


    We want hard working team players. You’ll have the independence to learn, lead and drive change. A culture of extraordinary service, empowerment and stability — that’s the First Republic way.




    Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records, to the extent consistent with applicable federal and/or state law.


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