SOX Testing Senior Associate to VP

SOX Testing Senior Associate to VP - Investment Bank

City of London - 3x days a week in office

Brokerage - financial services

• Experience with Internal or external audit preferable as it pertains to SOX compliance - and PCAOB auditing standards
• Big 4 Audit or Top 60 Practice - working with relevant Bank, Investment Bank, Capital Markets, Brokerage, Trading clients
• Qualified Accountant

SOX Testing Senior Associate to VP - Investment Bank

• Base from £75,000 to £100,000
• Exceptional company benefits package (will disclose on application)
• Competitive bonus scheme

Summary

• Global Brokerage house with expanding digital lines
• Solid leadership team, long term vision

About Our Client

Global Brokerage house with expanding digital lines

Solid leadership team, long term vision

Job Description

SOX Testing Senior Associate to VP - Investment Bank

City of London - 3x days a week in office

Brokerage - financial services

• Build and maintain relationships with control owners and key stakeholders across Risk, Treasury, Finance, Operations, and Revenue-Generating Business Functions, developing a strong understanding of business activities and operational processes
• Review and assess internal control activities across multiple business areas, including:

- Maintaining process documentation and control frameworks to ensure compliance with internal control and regulatory requirements

- Reviewing and testing controls to assess design and operating effectiveness through ongoing monitoring and periodic evaluation

- Supporting the implementation, monitoring, and validation of controls designed to mitigate financial reporting risks and strengthen the control environment

• Perform scheduled testing of financial control activities relating to balance sheet and profit-and-loss processes, ensuring control owners appropriately consider:

- Compliance with internal control requirements, including end-user computing controls, information used in controls, and management review controls

The adequacy of systems, processes, and governance arrangements supporting financial reporting and regulatory compliance

• Support annual internal control and compliance testing activities, including application-level controls, third-party assurance reporting, key technology-dependent controls, and coordination with relevant technology and operational teams
• Act as a role model by demonstrating high standards of integrity, professionalism, and ethical conduct
• Comply with the organisation's Code of Conduct and all relevant policies and procedures
• Maintain awareness of and adherence to internal policies relevant to the role and associated responsibilities
• Escalate policy breaches, control deficiencies, and compliance concerns through appropriate channels
• Promptly identify and escalate risk events and incidents
• Contribute to risk management, governance, and control enhancement initiatives as required

The Successful Applicant

SOX Testing Senior Associate to VP - Investment Bank

City of London - 3x days a week in office

Brokerage - financial services

• Experience with Internal or external audit preferable as it pertains to SOX compliance - and PCAOB auditing standards
• Big 4 Audit or Top 60 Practice - working with relevant Bank, Investment Bank, Capital Markets, Brokerage, Trading clients
• Qualified Accountant

What's on Offer

SOX Testing Senior Associate to VP - Investment Bank

• Base from £75,000 to £100,000
• Exceptional company benefits package (will disclose on application)
• Competitive bonus scheme