About Our Client
Global Brokerage house with expanding digital linesSolid leadership team, long term vision
Job Description
SOX Testing Senior Associate to VP - Investment BankCity of London - 3x days a week in officeBrokerage - 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 controlsThe 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 elevate risk events and incidents
- Contribute to risk management, governance, and control enhancement initiatives as required
The Successful Applicant
SOX Testing Senior Associate to VP - Investment BankCity of London - 3x days a week in officeBrokerage - 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
What's on Offer
SOX Testing Senior Associate to VP - Investment Bank
- Base from £75,000 to £100,000
- Exceptional company benefits package (will disclose on application)
SOX Testing Senior Associate to VP - Investment Bank City of London, England
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Sox Testing Senior Associate To Vp - Investment Bank employer: Page Personnel
As a Tax Manager at our retail organisation, you will thrive in a dynamic work culture that values collaboration and innovation. We offer competitive daily rates, comprehensive benefits, and ample opportunities for professional growth, all within a vibrant location that fosters both personal and career development. Join us to make a meaningful impact while enjoying a supportive environment that prioritises your success.
