SOX Testing Senior Associate to VP - Investment Bank
Core
Build and maintain relationships with control owners to review and assess internal control activities across Risk, Treasury, Finance, and Operations for an Investment Bank.
Role type
Senior IC SOX testing and internal control specialist
Builds
Internal control frameworks and compliance testing for financial reporting
Domain
Financial services / Investment Banking / Audit
Required skills
SOX compliance, PCAOB auditing standards, internal control testing, process documentation, risk management, stakeholder management, regulatory compliance, financial reporting controls, end-user computing controls, third-party assurance reporting
Preferred skills
Big 4 Audit experience, Top 60 Practice experience, external audit experience, working with Bank/Investment Bank/Capital Markets clients
Technologies
None stated
Responsibilities
Maintain process documentation and control frameworks to ensure compliance with internal control and regulatory requirements; Review and test controls to assess design and operating effectiveness; Perform scheduled testing of financial control activities relating to balance sheet and profit-and-loss processes; Support annual internal control and compliance testing activities including application-level controls and technology-dependent controls; Escalate policy breaches, control deficiencies, and compliance concerns.
Seniority
Senior to VP, hands-on IC
