CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
IT Audit / SOX Quality Assurance VP - leading global IB
August 3, 2018
London, United Kingdom
We are looking for an ACA/ACCA candidate with experience working in financial services or one of the big 4 firms conducting external/internal audits of banking industry. The candidate will be working as part of the SOX and Controls Team, providing assistance in implementing the IT SOX Framework (IT General Computer Controls, IT Automated Controls and End User Computing) at LDN.
This role is much wider than a typical SOX role as apart from performing the quality assurance review of the SOX controls, the candidate will be responsible for managing controls reporting to EMEA and Global HQ, providing controls training and assisting business units in remediating weak processes.
The candidate should have:
A strong risk and controls background with extensive knowledge and understanding of COBIT and COSO Framework, IT General Computer Controls (Information Security, Change Management and System Operations). High level understanding of business processes like Lending and Guarantee would be beneficial
Strong attention to detail and ability to analyse and make linkages between issues arising within various areas
Prioritise tasks, manage and complete multiple issues and workflows effectively
Excellent communication skills (verbal and written) in English
The candidate should be a strong team player, highly motivated and resourceful, conscientious and hardworking with a willingness to put in the extra hours required to complete tasks with tight and demanding deadlines. The candidate should be able to manage people from different parts of the business.
Oversee and manage the implementation of the IT SOX cycles. Post implementation of the SOX process, ensure smooth SOX testing and completion of all SOX tasks in time for the year end SOX attestation.
Perform review of the ITGC and ITAC test results to maintain quality of testing and minimise issues identified by internal/external audit.
Assist and support business units in enhancing their process & controls where deficiencies and issues have been identified. Conduct continuous on-going reviews of existing cycles, processes and controls to identify and recommend improvements to the process that would enhance operational efficiency and minimise issues.
Take initiative to support team members in work load. Foster good team spirit and teamwork amongst team members.
Act as first point of contact for all IT SOX work undertaken. Coordinate and liaise with London and Head Office counterparty on SOX, internal controls related matters and manage the submission of any deliverables arising from these areas.
Managing external auditors for year-end IT audit and IT SOX audit.
Certified Information Systems Audit (CISA) or equivalent qualification is a must
Additional qualifications like ACA/ACCA/CIMA/CIA would be beneficial
Work Experience Essential
Experience of IT General Computer Controls, IT Automated controls and End User Computing Controls
The candidate should have a good knowledge of risks and controls particularly IT risks.
Functional/Technical Competencies Essential
Working knowledge of COBIT and COSO Framework
Expert knowledge of Risk and Controls
Functional/Technical Competencies Preferred:
Knowledge of banking products i.e. Lending and Guarantee process would be an added advantage
Behavioural Competencies Essential
The candidate should be a good team player, highly motivated, hardworking and willing to put in the extra hours required to complete tasks with tight and demanding deadlines.
The candidate should be able to work well under pressure and manage people from different parts of the business.