SOX Senior Analyst

  • Competitive Salary
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Cantor Fitzgerald.
  • 19 Apr 18 2018-04-19

Cantor Fitzgerald are looking for a SOX Senior Analyst to join the team on a permanent basis in the London offices (Canary Wharf). Working with the Financial Audit Group will primarily be involved with Sarbanes Oxley (SOX) testing but may also include some operational, financial and regulatory audits.

Position Summary

The Audit Senior Analyst, working with the Financial Audit Group will primarily be involved with Sarbanes Oxley (SOX) testing but may also include some operational, financial and regulatory audits.  

The Audit Senior Analyst will work with Internal Audit Management to perform the following:

  • Documenting key business processes for SOX (narratives and flowcharts)
  • Drafting audit and SOX observations;
  • Assist with the quarterly SOX certification process;
  • Completion of Audit Assignments in accordance with the approved lnternal Audit Plan or any ad-hoc reviews as requested by the Head of Internal Audit; and
  • Through completion of Audit Assignments and identified findings, liaise with Management to ensure that the appropriate Management Action is taken to mitigate the risks down to an acceptable level.

It is expected that as the Senior Analyst gains a working knowledge of the above, he or she will be able to take on greater responsibilities in writing detailed audit programs to test the internal controls, analyze the impact of issues noted, document findings and interface with line management to confirm accuracy of observations and agree upon action plans.  

Major Responsibilities:

The Audit Senior Analyst is expected to work with the Audit group in accomplishing the following:

  • Perform Sarbanes-Oxley control testing for key business processes.
  • Clearly document testing of controls and reference in detail all relevant supporting evidence
  • Liaise with external auditors on assessment of SOX controls, control deficiencies and possible remediation
  • Perform risk-based audit work, including detailed walkthrough, flowcharts, documentation review, and substantive testing.
  • Assess control strengths and weaknesses and determine compliance with policies and procedures.
  • Prepare clear and concise audit work papers.
  • Draft and present comprehensive management action plans and audit reports as final deliverables.
  • Follow-up with accountable business and compliance leaders and their teams to ensure control issues are effectively resolved.
  • Coordinate work with Risk & Compliance and other control-related functions, including Internal Audit.
  • Use relationship management skills to build business relationships with clients.
  • To positively participate as part of the wider IA team in all situations.
  • Ensure that all work undertaken is delivered on time and to a high standard.
  • This position may entail some travel.

Key Contacts and Working Relationships:

  • Establish and maintain relationships with key stakeholders within the Firm.


  • Experience of performing financial/operational audits and SOX audits.
  • Internal Audit and/or consulting experience (preferably Big-4).
  • Excellent verbal and written communication skills.
  • Familiarity with MS Office including Word, Excel, PowerPoint, Outlook.
  • Self-motivated and being able to work independently and also part of a team.
  • Ability to follow directions and receive constructive feedback on work products submitted for review.


  • Keep up to date with industry developments, legislation and regulatory requirements.
  • Strong analytical and investigation skills.
  • Self-motivated and be able to work independently and as part of a team.

Education/ Experience Requirements:

  • Bachelor’s degree in Accounting or Finance preferred.
  • One or more certifications (e.g., CIA, CPA, ACCA) and/or graduate degree preferred.
  • 3 - 5 years’ prior experience working in audit, compliance and/or risk management function