Financial Compliance Specialist

Financial Compliance Specialist

Job title: Financial Compliance Specialist

Company: Roche

Job description: Responsible for the Roche Compliance Framework Services performed by the RSS Operations Americas in Costa Rica on behalf of the affiliates, and provide ICFR and SOD services for ICFR4all affiliates.

Key Responsibilities

  • Ensure the ICFR (Internal Controls over Financial Reporting) /SoD (Segregation of Duties) standard controls requirements in regards of control documentation are met to the full extent and aligned with GBPO/Ms within the compliance tool such as BWISE.
  • Keep timely communication in regards of relevant control changes with the GBPO/Ms, and ensure Americas SSC Compliance team is communicated and performs appropriate changes according to the LAI calendar or GPBM instructions.
  • Lead and execute the Annual RSS Ops/Affiliate Feedback Sessions, with the purpose of generating improvement ideas or identify further support from the compliance team.
  • Support CSA (Controls Self-Assessment) yearly process by ensuring appropriate ownership is included in BWise, communicating with the control owners and local ICFR key contact about the questionnaire completion requirement, monitoring its completeness.
  • Be a key partner to RSS Operations control owners, local staff (as needed) and the CCA to ensure an overall effective control environment, development of action plans for control execution issues and be a key communication contact to the GBPO/M.
  • Provide guidance and expertise in regards of Segregation of Duties to the compliance team and affiliates, and develop action plans to mitigate risks, in addition to ensure SoD/Access services are correctly delivered by the compliance team to the affiliates and RSS.
  • Collect issues and improvement areas related to design of controls and feedback to change management teams (CMT) and GBPM/O.
  • Act as a Key point of contact to attend Financial Compliance inquiries from the RSS Operations America and work with them
  • Support internal and external audits visits, including sample compilation, logistics, etc.
  • Support Compliance Team in regular schedule activities.
  • Prepare and deliver Key Process Indicators for RSS Operations Americas Compliance Team including, ICFR, SoD and Access Authorizations.
  • Coordinate and review of SOP/Desktop procedures for internal compliance processes.
  • Escalates issues and recommend resolution plans in a timely manner to the line manager and affiliate when necessary.
  • Function as a key lead support in regards of issue resolution for the Compliance Financial Analysts.
  • Support the preparation of reports and training material on a periodic basis to address updates to the compliance monitoring process.
  • Responsible for providing training/guidance for all new on boarded team member’s in collaboration with the RSS Operations Americas Financial Compliance Manager and BPMs.
  • Support/Lead projects related to compliance improvements.
  • External audit and internal compliance liaison.


Bachelor’s degree in Accounting, Finance, or related field.

Experience in Computing Microsoft Packages, especially advance excel level.

5+ years of related accounting, financial or compliance experience.

Strong knowledge of finance and accounting principles and practices GAAP or IAS and auditing.

Possesses and applies a broad knowledge of principles, practices, and procedures of particular field of specialization to the completion of difficult assignments.

SAP knowledge is a must.

Proven analytical and reporting skills.

Demonstrated ability to effectively communicate, influence and lead both with and without authority with Senior Management.

Fluency in written and spoken English, Spanish, Portuguese is a plus.

Experience of

3-5 years of internal compliance or external audit experience. Segregation of Duties experience preferred

Exhibit leadership qualities, including team building, motivating others, conflict resolution, professionalism, confidence, being proactive, self-motivated, and the ability to make decisions

Ability to foster and sustain strong interpersonal relationships with internal customers, strong team player.

Good organizational skills to be able to manage multiple tasks simultaneously with strong prioritization skills.

Job Level: Individual contributor

Expected salary:

Location: San José

Job date: Sat, 30 Oct 2021 22:41:36 GMT

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