SOX Testing Senior Associate to VP - Investment Bank

SOX Testing Senior Associate to VP - Investment Bank (equivalent senior manager level - sole contributor)
Qualified accountant
From Big 4 or Top 60 Practice auditing FS clients (banks, commodities, brokerage, investment banks, traders), strong SOX

Client Details

Global Brokerage house with expanding digital lines

Solid leadership team, long term vision

Description

SOX Testing Senior Associate to VP - Investment Bank

City of London - 3x days a week in office

Brokerage - financial services

Build and maintain relationships with control owners and key stakeholders across Risk, Treasury, Finance, Operations, and Revenue-Generating Business Functions, developing a strong understanding of business activities and operational processes
Review and assess internal control activities across multiple business areas, including:

• Maintaining process documentation and control frameworks to ensure compliance with internal control and regulatory requirements
• Reviewing and testing controls to assess design and operating effectiveness through ongoing monitoring and periodic evaluation
• Supporting the implementation, monitoring, and validation of controls designed to mitigate financial reporting risks and strengthen the control environment

Perform scheduled testing of financial control activities relating to balance sheet and profit-and-loss processes, ensuring control owners appropriately consider:

• Compliance with internal control requirements, including end-user computing controls, information used in controls, and management review controls

The adequacy of systems, processes, and governance arrangements supporting financial reporting and regulatory compliance

Support annual internal control and compliance testing activities, including application-level controls, third-party assurance reporting, key technology-dependent controls, and coordination with relevant technology and operational teams
Act as a role model by demonstrating high standards of integrity, professionalism, and ethical conduct
Comply with the organisation's Code of Conduct and all relevant policies and procedures
Maintain awareness of and adherence to internal policies relevant to the role and associated responsibilities
Escalate policy breaches, control deficiencies, and compliance concerns through appropriate channels
Promptly identify and escalate risk events and incidents
Contribute to risk management, governance, and control enhancement initiatives as required

Profile

SOX Testing Senior Associate to VP - Investment Bank

City of London - 3x days a week in office

Brokerage - financial services

Experience with Internal or external audit preferable as it pertains to SOX compliance - and PCAOB auditing standards
Big 4 Audit or Top 60 Practice - working with relevant Bank, Investment Bank, Capital Markets, Brokerage, Trading clients
Qualified AccountantJob Offer

SOX Testing Senior Associate to VP - Investment Bank

Base from £75,000 to £100,000
Exceptional company benefits package (will disclose on application)
Competitive bonus scheme

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