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Job ID Number: 1256064988
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Sarbanes-Oxley/Corporate Governance |
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| Job Title: |
Operational Risk Management/Sarbanes Oxley |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Our client, a top-tier global investment bank, seeks an Operational Risk Management and Sarbanes Oxley professional with 4 to 10 years of experience.
Main Function
SOX Compliance
Main Duties
1. Assist in achieving SOX compliance in the Americas relative to ensuring that internal controls are present; scoping, identification of monitoring controls, and evaluating control effectiveness etc.
2. Assist Relationship Managers focused on delivery of broader OR framework, on an as needed basis, with a view to developing a broader understanding of Operational Risks.
3. Develop strong working relationships and regularly communicate with Business unit & infrastructure management as well as Corporate ORM on the Sarbanes Oxley compliance efforts.
4. Participate in the global scoping exercise to identify the critical financial statement accounts and key processes in scope for the Company, Regions and Business Units for annual SOX compliance.
5. Stay abreast of Sarbanes Oxley regulatory changes and Promote the understanding of Sarbanes Oxley as a regulation, and communicate accountability for continuous monitoring, reporting and management of the risk (including attestations), as well as maintenance of the control environment.
6. Complete quality assurance reviews and develop standards for the oversight of identifying / moving towards monitoring controls, moving towards self-assessments, gap identification and remediation, etc.
7. Develop and deploy internal training across the firm on SOX as a topic, and on specific tools and activities.
8. Assist in ensuring that the business continues to follow a risk-driven approach to self-assessments and key risk indicators that broaden scope beyond SOX risks and controls, while simultaneously leveraging management controls already in place. Streamline SOX efforts in view of risks, and recent PCAOB guidance allowing Co’s to move towards leveraging monitoring controls already in place at the organization.
Person Requirements
Essential:
- Four-year college degree or equivalent
- 6-10 years experience
- Enthusiastic, positive, upbeat attitude
- Strong organizational skills with strong attention to detail
- Proven track record for managing a SOX compliance effort, in global multi-national financial services, from detailed scoping to documentation to gap management.
- Displays potential to initially participate in, and ultimately move to, a role in the broader Operational Risk team in the near term (1-2 years)
- Excellent problem solving, research and analysis, technical, team building, and leadership skills
- Clear and strong verbal and written communication skills
- Strong interpersonal, presentation and relationship building skills
- Proven ability to multi-task
- Basic understanding of the financial services industry
- Good PC (spreadsheet, access, presentation and Microsoft Project) skills.
Preferred:
- MBA
- Public Accounting / Audit Experience
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com |
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