Fintech Financial Controls Reporting Analyst

United StatesRemoteFull-timemid

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Quick Summary

Overview

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Fintech Financial Controls Reporting Analyst based in United States.

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This role supports a partner-focused Internal Controls over Financial Reporting (ICFR) program within a modern Banking-as-a-Service and fintech environment.
You will evaluate control and assurance gaps, perform targeted alternative testing, and help ensure financial reporting risks are appropriately addressed.
The position combines internal controls expertise, analytical investigation, evidence evaluation, and detailed workpaper documentation.
You will collaborate with Financial Controls, Partner Risk, Internal Audit, testing teams, management, auditors, and external fintech partners.
A key focus will be translating identified control gaps into practical, risk-based testing procedures and supportable conclusions.
The role offers an opportunity to work at the intersection of banking, financial technology, risk management, and regulatory controls.
It is well suited to an experienced controls professional who thrives on detail, sound judgment, and solving complex assurance challenges.

Obtain, document, and map partner controls relevant to financial reporting requirements within the established Partner ICFR Framework.
Maintain partner ICFR control inventories, alternative control testing documentation, gap tracking, and supporting evidence.
Review identified control and assurance gaps and determine the specific control or control objective requiring targeted testing.
Develop and execute risk-based alternative testing procedures aligned with approved methodologies and identified financial reporting risks.
Perform targeted testing of identified Complementary User Entity Control (CUEC) gaps without independently determining CUEC applicability or identifying coverage gaps.
Conduct walkthroughs of controls being tested to understand their design and operation in practice.
Obtain and evaluate evidence supporting control design and operating effectiveness, including validating populations and sample selections where applicable.
Prepare detailed testing workpapers covering the control tested, testing period, population, evidence reviewed, attributes, results, exceptions, resolutions, and preliminary conclusions.
Identify control deficiencies, missing evidence, testing exceptions, and insufficient support, escalating concerns to the Fintech Financial Controls Manager.
Track remediation activities and perform follow-up testing as assigned.
Support management in determining whether targeted testing sufficiently addresses identified control or assurance gaps.
Coordinate with Partner Risk and Internal Control testing teams on SOC, ITGC, CUEC, transaction, and account-level testing matters.
Communicate testing progress, exceptions, remediation status, and potential financial reporting impacts to management.
Assist with management and audit reporting and other control-related activities as requested.

Requirements

~2 min read

Strong understanding of internal controls over financial reporting and internal control testing principles.
Working knowledge of SOX, ICFR, and the COSO framework.
Working knowledge of SOC 1 and SOC 2 reports, CUECs, IT General Controls (ITGCs), and business process controls.
Ability to translate control or assurance gaps into practical, risk-based testing procedures.
Experience performing internal control testing, including evidence evaluation, sample-based testing, exception analysis, and workpaper preparation.
Ability to distinguish between missing controls, missing evidence, incomplete testing, and insufficient audit coverage.
Strong analytical and problem-solving skills, with the ability to evaluate evidence, identify control issues, assess potential financial reporting impacts, and develop defensible conclusions.
Strong written and verbal communication skills, with the ability to collaborate effectively with fintech and BaaS partners, Financial Controls, Risk, testing teams, management, and auditors.
Ability to independently manage multiple control assessments and testing assignments while meeting established deadlines.
Strong attention to detail and proficiency with Microsoft Excel, Word, Outlook, and related documentation and testing tools.
Bachelor’s degree or an equivalent combination of education and relevant experience.
5+ years of relevant experience in Internal Controls, SOX/ICFR, Internal Audit, public accounting, financial controls, risk management, or related control-testing functions.
Experience with business process control testing, alternative control procedures, or other risk-based internal control testing is preferred.
Experience using SOC reports, CUEC assessments, or ITGC audit results as inputs to internal control testing is preferred.
Experience in fintech, Banking as a Service, financial services, or banking is preferred.
Working knowledge of GAAP and financial reporting concepts is advantageous.
Ability to exercise sound judgment, remain adaptable, communicate clearly, and work collaboratively in a fast-moving environment.