Senior Consultant, SOX and FDICIA Controls

Baker Tilly US

. Work closely with client executives and management teams to understand their businesses and identify and manage regulatory compliance risks within business processes and systems .

Posted 10/13/2026full-timeUnited StatesSenior💰 $72,700 - $147,600 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance within the financial services industry, particularly with SOX and FDICIA internal control programs. Capable of providing strategic business advice and managing client engagement teams while ensuring effective communication and collaboration.

Highest-signal resume keywords

SOX ComplianceFDICIA Internal Control ProgramsInternal Controls Over Financial ReportingClient Engagement ManagementRegulatory Compliance Risk Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Internal Control DocumentationRisk and Control AssessmentsControl TestingControl Design EvaluationControl Deficiency IdentificationRemediationProcess WalkthroughsFinancial Institution RegulationsCompliance Audit ProgramsAnalytical Skills

Soft Skills

Verbal CommunicationWritten CommunicationCollaborationProject ManagementTime Management

Industry Keywords

Financial Services IndustryClient-Serving ConsultingAdvisoryPublic AccountingInternal Audit

About the role

Key responsibilities & impact

Work closely with client executives and management teams to understand their businesses and identify and manage regulatory compliance risks within business processes and systems
Assist clients with compliance involving new or updated financial institution regulations
Implement new or updated regulatory requirements and translate them into financial institution compliance practices
Stay up to date on existing compliance regulations
Develop and maintain knowledge of the financial institution industry and regulatory changes
Identify potential impacts to compliance audit programs
Support the internal audit practice as a subject matter expert on regulatory and compliance topics
Provide strategic business advice by assisting clients with implementing new regulatory requirements
Assist with managing client engagement teams, staffing, billings and collections, and client profitability targets
Network and build relationships internally, externally with clients, and with the community
Participate in firm-wide learning and development programs
Support team-member growth through the Baker Tilly Care and Teach philosophy
Participate in friendships, social activities and team outings

Requirements

What you’ll need

4 year degree
Three (3) years of experience
3+ years of direct, hands-on experience with SOX and/or FDICIA internal control programs within the financial services industry, with banking experience strongly preferred
Experience with internal controls over financial reporting (ICFR), including process and control documentation, walkthroughs, risk and control assessments, control testing, evaluation of control design and operating effectiveness, identification of control deficiencies, and remediation
Ability to execute key components of SOX and/or FDICIA programs
Experience coordinating with process and control owners, internal audit, external audit, and other key stakeholders
Prior experience in a client-serving consulting, advisory, or public accounting environment supporting financial institution clients and/or experience within a financial institution’s SOX/FDICIA, internal controls, internal audit, or related risk function
Experience communicating control observations, testing results, deficiencies, and remediation matters to client stakeholders and engagement leadership
Strong analytical, technical, and problem-solving skills
Ability to understand business processes, identify risks, and evaluate the effectiveness of internal controls
Exceptional verbal and written communication, collaboration, project management and time management skills
Strong sense of urgency and client responsiveness
Ability to travel up to 10%

Benefits

Comp & perks

Flexibility in how and where you get your work done
Meaningful relationships with clients, teammates and leadership
Resources and support to sharpen technical skills and build a career
Firm-wide learning and development programs
Work-life balance
Friendships, social activities and team outings
Comprehensive compensation and benefits package for eligible employees