Principal Objective

Ensures the Finance department’s compliance with respect to Sarbanes-Oxley (SOx) controls. Liaise with the Bank’s external auditing firms in the audit documentation process coordinating with all affected departments in ensuring the external auditing firm “PBC” requests are met and maintaining complete PBC documentation. Responsible for maintaining efficient and effective Sarbanes Oxley (SOx) Compliance Sections 302 and 404 processes by overseeing the completion of the work and being the custodian of the Corporation’s documentation reflecting the internal control environment over financial reporting and the inherent risks in the processes. Works closely with the Internal Audit personnel, Controller, Chief Financial Officer, and business line managers throughout the Company.

Principal Duties and Responsibilities

SOx / Policies and Procedures oversight

• Be lead expert in understanding SOx internal control requirements for sections 302 and 404.
• Create, execute, and report on the annual SOx Compliance Plan. These responsibilities include:

• Conducting, maintaining, and updating qualitative and quantitative assessments of risk to identify the significant financial statement accounts and disclosures and relevant assertions, the selection of controls to test and the determination of the evidence necessary for a given control in concert with SOx section 404 requirements. Reviewing the assessment with the Controller. Ensuring sufficient testing on the identified controls is conducted each year, which will be coordinated with Internal Audit who serves as the main testing group.
• Quarterly, completing the applicable work to opine on the internal control environment over financial reporting, the existence of any significant deficiencies or material weaknesses in the design or operation of the internal control environment, and to be aware of any known fraud, whether or not material, that involves management or other employees who have a significant role in the internal control environment over financial reporting.
• Managing the plan via completing the required steps, monitoring the work completed by Internal Audit or any other third party, assist in redirecting resources where the plan is at risk, and ensuring that identified deficiencies are reported to management and satisfactory corrective action is taken.
• Maintaining lines of communication and change processes to ensure current processes and controls are understood for SOx purposes.
• Performing initial control assessments for new businesses acquired.
• Leading and training Finance business line managers in internal controls and assist them in completion of their SOx responsibilities.
• Evaluating current controls for potential improvement, including providing guidance to Finance business line managers in their development of effective remediation plans, and recommending more efficient and effective controls, including the existence of automated controls to replace reliance on manual controls.
• Providing periodic reports (SOx 302 and 404) to applicable management and the Audit Committee so that they can fulfill their reporting responsibilities.
• Keeping plan on course throughout the life cycle.
• Coordinating with external auditors on delivery of PBCs and support their efforts as needed.

• Manage process of annual review/update of policies and procedures for Finance department
• Oversee Finance department updates to Workiva/WDesk where SOx controls tracking is maintained

Other

• Works collaboratively with external and internal audit teams, and the finance teams as a whole
• Oversees the timely delivery of all external-audit requested PBCs
• Provides regulatory and U.S. GAAP support on an as needed basis
• Assumes additional responsibilities, as appropriate, including leading/supporting projects

Job Specifications (Skills, Knowledge and Abilities Required)

• Bachelor’s degree in Accounting, CPA preferred
• Minimum three to five years of experience in SEC Reporting, U.S. GAAP and audit, Big 4 preferred
• Knowledge of banking functions and operations, preferred
• Ability to think strategically, coupled with superior analytical and organizational skills
• Excellent and effective communication skills, written/verbal/proofreading
• Strong customer service orientation
• Strong aptitude with computer software (Word and Excel) required
• Self-starter with ability to work independently on daily basis, requiring strong organizational skills, initiative and good judgment
• Willingness to work overtime during peak period to ensure reporting deadlines are met

Behavioral Skills

• 
  Consistently demonstrate behaviors associated with Brookline Bancorp’s Core Four values: adaptability, accountability, leadership, and teamwork.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this position. They are not intended to be an exhaustive list of all responsibilities, duties and skills required of personnel so classified. This job description is subject to change at any time.