For this top tier investment bank we are looking for an Auditor / SOX Compliance consultant to be a key member of the Sarbanes Oxley (SOx) team contribute to the planning and execution of the annual SOx process for business processes residing in the Investment Bank division for EMEA. You will review and assess adequacy of process documentation, perform design effectiveness and operating effectiveness testing and report control issues in areas such as Product Control, Financial Control, Operations and IT. You will also 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.
Degree, Qualified Chartered Accountant
Financial Services experience in an Investment Bank.
Team player, with the ability to work with various teams based in different locations.
Strong skills in manipulating large volume of data for analysis and presentation purposes.
Excellent communication (both oral and written) and interpersonal skills with the ability to communicate at all levels.
Excellent co-ordination skills, with a proven ability to manage multiple conflicting deliverables within tight timeframes whilst keeping manager informed of progress.
Strong analytical thinking and problem solving skills with the ability to work with little supervision
Proven track record of coordinating deliverables to conclusion in a timely manner.
Control awareness with strong working knowledge of financial accounting and products, as well as control governance and SOx.
Product Control/Financial Control/Regulatory reporting experience in an Investment Bank or Broker Dealer.
Internal Number: 5231165
About Alexander Ash GmbH
eFinancialCareers is a career site specializing in financial services.