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Financial Control is structured with several teams which provide reporting and advisory services. The strong control environment in which we operate is at the core of everything we do and is instrumental in the flawless execution of our services.
They are looking for interim support in their UK Surbanes Oxley team (SOx) to contribute to the planning and execution of their annual SOx process for business processes residing in Europe. This assignment will be for six months initially (with a strong chance of extension).
This individual will:
Review and assess adequacy of their process documentation, perform design effectiveness and operating effectiveness testing and report control issues.
Drive improvements across the SOx team and the wider control environment across the Bank
Conduct SOx Design Effectiveness Assessment (DEA) which includes scheduling and conducting walkthrough meetings with control owners, documenting the walkthrough meetings and procedures, identifying and communicating any DEA deficiencies and following up with control owners to ensure any DEA deficiencies are resolved in a timely manner.
Conduct SOx Operating Effectiveness Testing (OET) which includes preparing a detailed request list, selecting appropriate samples for testing and executing the testing in line with SOx Methodology.
What are they looking for?
Qualified Chartered Accountant
Financial Services / Banking experience
Recent SOx experience
Control awareness with strong working knowledge of financial accounting and products, as well as control governance
Product Control/Financial Control/Regulatory reporting experience in an Investment Bank or Broker Dealer.