SOX and Control AVP

Overview

In this role you will lead SOX testing and controls assurance for a financial services client in London. You will work with cross-functional teams to assess design and operating effectiveness of key controls, drive remediation of deficiencies, and support the SOX framework through the annual cycle. You will interact with Internal Audit and external auditors to bolster governance and drive continuous improvement in controls. This is a hands-on, senior position shaping the firm’s control environment and transformation efforts.

Responsibilities

• Perform walkthroughs and assess design and operating effectiveness of key controls
• Deliver SOX testing across financial and operational processes per methodology
• Review control documentation, evidence, and Risk & Control Matrices
• Identify control deficiencies and drive root-cause analysis with control owners
• Track remediation actions and verify effectiveness of fixes
• Collaborate with Finance, Operations, Risk and broader business to understand end-to-end processes and related controls
• Support improvements to testing approaches, control documentation, and the SOX framework
• Engage with senior team members, Internal Audit and external auditors throughout the SOX cycle
• Contribute to wider controls and transformation initiatives

Key requirements

• Experience in Financial Services either in-house or with audit/advisory exposure
• Practical experience across SOX, internal controls, controls assurance or external audit
• Experience conducting walkthroughs and testing design and operating effectiveness
• Understanding of financial statements, balance sheets and core Finance processes
• Experience identifying control deficiencies and supporting remediation
• Exposure to SOX testing methodology, control documentation and RCMs
• Qualified (ACA, ACCA, CIMA or equivalent)
• Big Four or practice backgrounds with banking/FS exposure welcome

• Stakeholder management
• Attention to detail
• Strong communication with senior stakeholders
• SOX testing
• Control design and operating effectiveness
• Walkthroughs and testing methodologies

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