Sr. Analyst – Global Financial Controls (SOX & SOC)

Northern Trust; Philippines; On-site; PHP 1,842,751 - 3,071,253; Full time

Job summary

Northern Trust is seeking a qualified professional in the Philippines to evaluate process-level and financial reporting risks within SOX and SOC frameworks. The ideal candidate will maintain governance documentation, perform walkthroughs, and conduct tests to ensure control effectiveness. A Bachelor's degree in Accounting or Finance is required along with 5-8 years in audit or internal controls. Strong communication and adaptability are key to thrive in a dynamic environment supporting multiple time zones.

Qualifications

• Experience within the Financial Services industry preferred.
• Five to eight or more years of experience in SOX, SOC, internal controls, audit, or financial services–related roles.
• Professional certifications such as CPA, CIA, or CISA are a plus.

Responsibilities

• Evaluate process-level and financial reporting risks.
• Maintain SOX and SOC governance documentation.
• Execute walkthroughs to document end-to-end processes.
• Perform and document tests of design and operating effectiveness.
• Assess testing results and determine control effectiveness conclusions.

Skills

Strong oral and written communication skills

Ability to operate effectively in a dynamic environment

Strong technical aptitude and systems knowledge

Highly adaptable and flexible

Education

Bachelor’s degree in Accounting or Finance

Job description

Major Duties

Planning & Risk Assessment

• Evaluate process‑level and financial reporting risks to identify key risks, control objectives, controls, and potential sources of misstatement.
• Develop and maintain an understanding of business operations, systems, and control environments for assigned SOX and SOC processes.

Governance & Process Oversight

• Maintain effective working relationships with control/process/IT owners and provide ongoing SOX and SOC guidance and training.
• Support annual/quarterly SOX and SOC governance planning activities, including coordination of walkthrough schedules, timelines, and tracking of key governance and testing milestones in accordance with departmental standards and audit requirements.
• Maintain SOX and SOC governance documentation, including risk and control matrices and process narratives, ensuring alignment with approved methodologies and internal standards.

Walkthroughs & Process Understanding

• Execute walkthroughs to document end‑to‑end processes, key risks, control activities, and supporting systems.
• Validate risk‑to‑control alignment and confirm control ownership, execution, and consistency with documentation.
• Monitor and assess control environment changes, including changes in processes, systems, or ownership, and evaluate impacts to SOX and SOC scope and testing approaches.

Test of Design & Operating Effectiveness (TOD/TOE)

• Perform and document tests of design and operating effectiveness in accordance with established sampling and testing standards.
• Evaluate audit evidence for completeness, accuracy, and relevance to support control conclusions.
• Escalate evidence requests and follow‑ups with control owners in a timely manner
• Identify, assess, and timely communicate control design and operating effectiveness deficiencies to control and process owners.

Results Evaluation & Reporting

• Assess testing results and determine control effectiveness conclusions using established SOX and SOC methodologies.
• Evaluate severity and root cause of control issues, considering both design and operating effectiveness factors.
• Ensure testing conclusions are clearly documented and supported by sufficient evidence to enable external audit reliance.
• Communicate testing results, control deficiencies, and key observations to control/process/IT owners and governance leads in a timely and professional manner.
• Support remediation tracking and validation activities by documenting issue resolution status and retesting results in accordance with departmental standards.

Control Environment Changes

• Communicate and document changes to the control environment, including process changes, system changes, control modifications, and ownership changes, in coordination with business units and process owners.
• Support ad hoc projects and initiatives as requested by Global Financial Controls management

Knowledge / Skills

• Strong oral and written communication skills, with the ability to clearly articulate risks, controls, and testing results to diverse stakeholders.
• Ability to operate effectively in a fast‑paced, dynamic environment as part of a Global Financial Controls team supporting multiple time zones and jurisdictions.
• Strong technical aptitude and systems knowledge preferred, with the ability to understand and assess process and system‑driven controls.
• Highly adaptable and flexible, with the ability to respond effectively to changing priorities, regulatory requirements, and control environments.

Qualifications

• Bachelor’s degree required; Accounting or Finance preferred.
• Experience within the Financial Services industry preferred.
• Prior Public Accounting experience strongly preferred.
• Five to eight or more years of experience in SOX, SOC, internal controls, audit, or financial services–related roles.
• Professional certifications such as CPA, CIA, or CISA are a plus.

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at [e-mail].