Sr Compliance & Internal Controls Analyst

  • Not Specified
  • Chicago, IL, USA
  • Permanent, Full time
  • Chicago Mercantile Exchange
  • 23 Jan 18 2018-01-23

CME Group: Where Futures Are Made CME Group (www.cmegroup.com) is the world’s leading and most diverse derivatives marketplace. But who we are goes deeper than that. Here, you can impact markets worldwide. Transform industries. And build a career shaping tomorrow. We invest in your success

CME Group: Where Futures Are Made CME Group (www.cmegroup.com) is the world’s leading and most diverse derivatives marketplace. But who we are goes deeper than that. Here, you can impact markets worldwide. Transform industries. And build a career shaping tomorrow. We invest in your success and you own it – all while working alongside a team of leading experts who inspire you in ways big and small. Joining our company gives you the opportunity to make a difference in global financial markets every day – whether you work on our industry-leading technology and risk management services, our benchmark products or in a corporate services area that helps us serve our customers better. With 2,500 employees located around the world, we’re small enough for you and your contributions to be known. But big enough for your ideas to make an impact. The pace is dynamic, the work is unlike any other firm in the business, and the possibilities are endless. Problem solvers, difference makers, trailblazers. Those are our people. And we’re looking for more.

Job Summary:
The Sr Compliance and Internal Controls Analyst executes the annual Sarbanes-Oxley program at CME Group which includes providing timely SOX documentation, monitoring of internal controls over financial reporting, management of control gap remediation, solution plans, and quarterly/annual preparation of certification documentation.

Principal Accountabilities:

  • Coordinate annual Entity-Level Control testing efforts and monitor status of certification and testing.
  • Coordinate the quarterly scope process by updating materiality using risk-based approach including quantitative and qualitative factors.
  • Ensure significant accounts are updated each quarter and provide supporting analyses for use in management reporting.
  • Ensure SOX documentation remains current and updated in the form of VICs diagrams, process flows and narratives for in-scope processes.
  • Identify and document issues noted during testing using the internally established framework. Work collaboratively with process owners and Accounting Compliance team to resolve and close out documentation relating to deficiencies.
  • Perform other analyses and special projects related to compliance efforts as required.
  • Perform SOX 404 Testing as required through performance of walkthroughs and tests of controls to assess design and operating effectiveness. Document results in compliance software (Trintech).
  • Schedule and conduct certification meetings with assigned process owners to review the results of quarterly risk assessments, certifications, gaps, timelines and other issues as deemed appropriate. Prepare related meeting documentation including but not limited to meeting minutes, certification results, gap worksheets, etc.

Skills & Software Requirements:

  • Microsoft Office, experience with PeopleSoft or other ERP systems, bank online systems. Experience with Trintech is preferred.
  • Bachelor's Degree
  • 1 to 3+ Years of Relevant Experience
See Job Description