SOX Testing Senior Associate to VP - Investment Bank

Michael Page Banking; Greater London; On-site; GBP 75,000 - 100,000; Full time

Benefits offered by this job

Exceptional benefits package

Competitive bonus

Job summary

Jobs4 is recruiting for a SOX Testing Senior Associate to VP role in an investment bank in the City of London. The position involves building control frameworks, performing scheduled testing of financial controls, and partnering with risk, finance, and operations teams.

3 days per week in the office; strong PCAOB/SOX and Big 4 background preferred. Base salary ranges from £75,000 to £100,000 with a competitive benefits package and bonus potential.

Qualifications

• 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

Responsibilities

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

Skills

SOX compliance

Internal audit

PCAOB standards

Big 4 experience

Education

Qualified Accountant

Job description

Job Description

SOX Testing Senior Associate to VP - Investment Bank (equivalent senior manager level - sole contributor)Qualified accountantFrom 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 escalation risk events and incidents
• Contribute to risk management, governance, and control enhancement initiatives as required

Profile

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

Job 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