SOX Testing Senior Associate to VP - Investment Bank

Michael Page; Greater London; Hybrid; GBP 75,000 - 100,000; Full time

Job summary

Michael Page is recruiting for a SOX Testing Senior Associate to VP in the investment banking sector. The role is based in the City of London with a stated pattern of 3 days in the office per week, and offers a strong path through senior management levels.

The candidate will lead testing of financial controls, collaborate with control owners, and help strengthen the control environment in a fast-paced financial services firm.

Qualifications

• Experience in SOX testing for financial services, with strong knowledge of regulatory requirements.
• Understanding of internal control design and operating effectiveness in banking environments.
• Familiarity with PCAOB auditing standards and external audit processes.

Responsibilities

• Build and maintain relationships with control owners and stakeholders across Risk, Treasury, Finance, and Operations.
• Review and test controls to assess design and operating effectiveness and monitor ongoing activity.
• Support implementation and validation of controls mitigating financial reporting risks.

Skills

SOX testing

Internal audit

PCAOB standards

Regulatory compliance

Banking/FS domain

Education

Qualified Accountant

Job description

SOX Testing Senior Associate to VP - Investment Bank (equivalent senior manager level - sole contributor)

Qualified accountant

From Big 4 or Top 60 Practice auditing FS clients (banks, commodities, brokerage, investment banks, traders), strong SOX

Client Details

Global Brokerage house with expanding digital lines

Solid leadership team, long term vision

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 elevate risk events and incidents
• Contribute to risk management, governance, and control enhancement initiatives as required

Profile

• 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

Job Offer

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