SOX Manager - Financial Services

Job Title: SOX Manager - Financial Services
Contract Type: Permanent
Location: Sheffield, South Yorkshire
Salary: £60000.00 - £80000.00 per annum + bonus, flexible working, package
Start Date: ASAP - Notice periods accepted
Reference: 3720211_1574090973
Contact Name: Arthur Blyth
Contact Email:
Job Published: November 18, 2019 15:29

Job Description

Sarbanes Oxley Manager - Financial Services organisation - c.£75,000 per annum + package

Your new company
My client is a high profile, publicly traded financial services organisation, with global operations and c.2000 staff members worldwide, providing specialised financial services, banking and wealth management services to both individual and corporate clients.

Your new role
This organisation are seeking to appoint into a newly created SOX (Sarbanes Oxley) Manager position reporting directly to the VP - Group SOX.

You will be responsible for designing and executing a SOX compliance programme, including planning, continual testing, supporting with remediation and internal reporting, alongside assuring effective internal control over financial reporting within the consolidated group.

Your responsibilities will include:

  • Assessing internal controls over financial reporting, ensuring compliance with the Sarbanes-Oxley Act (SOX).
  • Supporting the execution of the SOX assessment programme by providing thorough and reliable identification of in-scope accounts and locations, planning, testing, documentation, and reports on the effectiveness of financial reporting.
  • Providing risk and gap assessments on existing controls to develop an appropriate SOX testing plan.
  • Coordinating and testing internal controls over financial reporting to provide assurance of operating effectiveness, and working with process owners to ensure that identified deficiencies are resolved.
  • Assisting ownership transition to respective process owners to ensure appropriateness of Controls documentation in the Controls repository.
  • Performing SOX compliance risk and materiality assessment to ensure compliance with appropriate legislation and providing adequate scoping and coverage of the SOX testing programme.
  • Preparing materials for reporting, including evaluating deficiencies for reporting implications. Assisting in preparation of quarterly reporting for the Audit Committee.
  • Working to ensure appropriate coverage for the SOX testing, including Entity Level controls, End User Controls, SSAE-16 reports review, Information Provided by Entity and IT General Controls.
  • Working with external auditors to ensure the programme meets their requirements in terms of scope, timing and approach, to enhance reliance on SOX testing results and align conclusion.
  • Enhancing the assessment process, including department standards, procedures and testing approaches.
  • Scheduling and facilitating walkthroughs, reviewing management reliance testing and following up on issues or deficiencies between operational risk management, external auditors, and the control owners.
  • Handling inquiries, clarifications and interpretations from operational risk management, process owners and external auditors to expedite certifications.
  • Participating and supporting initiatives and projects related to changes that could impact the Controls framework as an internal control SME.
  • Enhancing SOX profile within the organisation and availability for ongoing coaching/support.
  • Escalating issues, risks and agree judgements with VP - Group SOX/Group Head of Internal Audit.

What you'll need to succeed

  • University degree in Business/Accounting with 3-5 years' management experience in relation to process and management consulting and a minimum of 3 years' banking or financial services experience in risk or audit.
  • Professional accounting designation.
  • Sound knowledge of USS GAAP, SOX controls frameworks and familiarity with control repository applications.
  • Comprehensive knowledge of the best practices and principles and extensive knowledge of SOX certification requirements.
  • Strong project management skills and demonstrated ability to manage changing priorities promptly.
  • Knowledge and timely awareness of emerging issues relating to Banking Control environments.
  • Strong working knowledge of MS Excel and MS PowerPoint is required. Knowledge of MS Visio would be an asset.
  • Knowledge of banking, wealth management and lending processes.
  • Excellent relationship building, management, negotiating, influencing, and planning skills required.
  • Superior communication skills to promote interaction and co-operation with senior personnel.
  • Knowledge of regulatory issues and/or complex accounting/reporting systems and have an ability to identify, extract, and apply the relevant information.
  • Ability to define deliverables, create budgets and project plans, align resources and specialists for project teams, manage audit projects, present final reports to business unit leaders and the Jurisdiction Audit/SOX Steering Committees.

What you'll get in return
You will be working for a forward thinking, growing an diverse organisation, liaising directly with senior management.

  • Salary c.£75,000 per annum
  • Bonus (c.10% to be discussed on appointment)
  • 35 hours per week, 9-5
  • Private healthcare package
  • Flexible working including working from home arrangement
  • Full gym membership worth £300
  • 35 days annual leave entitlement

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.

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