SOX Controls - Ex Auditor

  • Salary:50000 - 65000
  • Location:London, England, United Kingdom
  • Job Type:Permanent, Full time
  • Company:Alexander Ash Consulting
  • Updated on:17 Feb 19

My client a Tier –1 financial services provider, with global operations, is currently recruiting for a SOX controls professional to join them on a permanent basis in London. You’ll be joining a dynamic team within the COO which has the remit to drive consistent, excellent performance against the Control agenda. The role itself is to support the Bank UK’s annual SOx process on an ongoing basis, and contribute to process improvements.

Client

My client a Tier –1 financial services provider, with global operations, is currently recruiting for a SOX controls professional to join them on a permanent basis in London. You’ll be joining a dynamic team within the COO which has the remit to drive consistent, excellent performance against the Control agenda.

The role itself is to support the Bank UK’s annual SOx process on an ongoing basis, and contribute to process improvements.

 

Key initiatives

  • Review and assess adequacy of process documentation, perform design effectiveness and operating effectiveness testing and report control issues
  • Drive improvements across the SOx team and the wider control environment across the Bank
  • Support the Head of SOx, CCO, BUK with ad hoc tasks

 

Skills

  • EX Big 4 Auditor
  • External audit experience
  • Strong financial services background
  • Hands on experience with SOX (nice to have)

 

Responsibilities

  • Conduct SOx Design Effectiveness Assessment (DEA) which includes scheduling and conducting walkthrough meetings with control owners, documenting the walkthrough meetings and procedures, identifying and communicating any DEA deficiencies and following up with control owners to ensure any DEA deficiencies are resolved in a timely manner.
  • Conduct SOx Operating Effectiveness Testing (OET) which includes preparing a detailed request list, selecting appropriate samples for testing and executing the testing in line with SOx Methodology.
  • Assess the impact of control weaknesses on financial reporting and raise issues
  • Monitor progress of remediation plans for SOx related issues
  • Work on special projects requiring attention for improving control environment