| Title: SOX Associate
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| Location: New York, NY
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| Job Type: Direct Hire
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| Compensation: per Year
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| Reference Code: 949037-AQG
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Description: A world class financial services company seeks a SOX Associate. The SOX Compliance Office implements and promotes financial reporting internal controls -best practices- throughout the firm's global offices. The Office seeks to assist the business in the maintenance of the SOX process going-forward. The role of the NY SOX Senior will be instrumental in guiding the financial reporting control activity throughout the firm, operating in a structure that centrally monitors the organization's compliance while supporting the direct efforts of the individual regions and departments. The ideal candidate will be a customer oriented person and an effective communicator, with knowledge of Sarbanes Oxley and auditing practices.
Key Roles and Functions:
- Ensure that quarterly Certification is provided to NY in compliance with legislative requirements
- Assist in training the business lines in how to identify risks and controls and perform their own testing in line with SOX requirements
- Provide audit documentation assistance, work paper review and challenge the test results
- Coordinate with Business Lines to identify gaps and coordinate the implementation of action plans
- Assist on the quarterly Self Certification Program for assigned processes and policies to assess compliance/performance and obtain signoff from all Business Unit Executives
- Assist in the identification of the high risk business lines and continue to help build their risk inventories
- Train the business units to identify, assess and mitigate their own risks
- Ensure that quarterly testing, control assessments and risk assessments are completed within required timescales
- Act as liaison with Business Line functions to ensure that current practices are understood and validated
- Ensure SOX risks and controls are properly reflected in the Risk Control Self Assessment program
- Ensure the quality of SOX audit is acceptable to the External auditors
- Maintain communications with internal audit
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Requirements: Requirements Include:
- Bachelor's Degree
- 3-5+ years of SOX / Audit experience in a risk management role, Audit, and/or consulting
- Knowledge of risk management principles and requirements
- Financial Services sector experience is a plus
- Excellent oral and written communication skills are essential
- Highly developed interpersonal skills (tact, discretion) with the ability to effectively communicate with senior management, the project management community and operational staff from a range of disciplines
- Resilient, independent, proactive professional
- Good presentation skills
- Results oriented
- Excellent time management, organizational skills, and meeting facilitation skills
- Good analytical and problem solving skills
- Positive, energetic, and creative attitude
- Customer service oriented
- Willing and able to perform hands-on manual work
- Ability to work a flexible schedule involving some night and weekend work to compensate for time differences across worldwide offices
- There is up to about 15% travel
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