Futures & Options/ ETD, FX & Equity Operations SOX Reporting & Project Analyst (Operations role)

JR United Kingdom; City Of London; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A global trading institution in the City of London seeks a permanent Futures & Options/ETD, FX & Equity Operations SOX Reporting & Project Analyst. This hybrid role involves overseeing SOX compliance processes and assisting in project management within an innovative and rapidly growing firm, offering numerous career advancements in a dynamic environment.

Benefits

Career advancement opportunities

Dynamic team environment

Regular social activities

Qualifications

• 1-2 years of experience in SOX Compliance or related roles in Financial Services Compliance or Project Management.
• Strong background in internal controls and financial reporting.
• Experience from reputable Brokerages, Investment Banks, or Asset Management firms is desirable.

Responsibilities

• Manage SOX compliance processes and internal control requirements.
• Develop and execute annual SOX compliance plans.
• Support project management tasks, including reporting and governance.

Skills

SOX Compliance

Project Management

Internal Controls

Financial Reporting

Job description

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Futures & Options/ ETD, FX & Equity Operations SOX Reporting & Project Analyst (Operations role), London (City of London)

Martis Search is representing a City of London-based, but global Trading institution to hire a permanent Futures & Options/ ETD, FX & Equity Operations SOX Reporting & Project Analyst.

This exciting role is based on a Trading Floor (sitting next to multiple ETD, FX, and Equity Sales and Traders) and works within an Operations team.

The company is a global trading firm subject to regulations such as Sarbanes-Oxley (SOX), requiring compliance with financial reporting rules.

This role focuses on two main areas: 1) BAU SOX Compliance and 2) Project management assistance, including reporting and governance.

Ideal candidates will have 1-2 years of SOX Compliance experience or related roles in Financial Services Compliance or Operations Project Management, with experience from reputable Brokerages, Investment Banks, or Asset Management firms.

The company is innovative, technology-driven, and rapidly growing, with a track record of doubling profits annually. They use cutting-edge proprietary trading systems and serve global institutional clients like Hedge Funds, Asset Managers, and Investment Banks.

There are numerous career advancement opportunities, a dynamic team environment, and regular social activities. The company offers a hybrid work model, combining remote and in-office work.

Requirements

This hybrid role involves:

• SOX Compliance: Overseeing and managing Sarbanes-Oxley compliance within Operations, ensuring internal controls and financial reporting requirements are met, including control testing and documentation maintenance.
• Project Management Assistance: Supporting various project management tasks, including reporting and governance within the Operations department.

The ideal candidate will have a strong background in internal controls, financial reporting, and project processes, seeking growth in a dynamic environment.

Overall Responsibilities

• Manage SOX compliance processes, ensuring adherence to internal control requirements under Sarbanes-Oxley (Section 404).
• Develop and execute annual SOX compliance plans, including assessments and reporting.
• Oversee the design, implementation, and testing of internal controls; identify and address control gaps.
• Assist in risk assessments, ensuring appropriate controls to mitigate financial and operational risks.
• Drive process improvements and streamline operations without compromising control effectiveness.
• Coordinate with external auditors, prepare documentation, and support audit processes.
• Support project management tasks: creating project plans, providing status updates, hosting meetings, escalating risks, and liaising with various teams to meet business objectives.