Description
SOX Tester and Financial Controls
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 Tester and Financial Controls
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 Accountant
Job Offer
- Base from £75,000 to £100,000
- Exceptional company benefits package (will disclose on application)
- Competitive bonus scheme
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SOX Tester and Financial Controls - Michael Page employer: eFinancialCareers
As a leading global asset manager based in London, we pride ourselves on fostering a dynamic and inclusive work culture that values innovation and collaboration. Our employees benefit from comprehensive professional development opportunities, competitive compensation packages, and the chance to work with cutting-edge AI tools that enhance their skills and productivity. Join us to be part of a team that not only drives success but also prioritises employee well-being and growth in a vibrant city.
