Inventum Group
SOX Senior Manager (VP)
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SOX Senior Manager (VP Level) – Financial Services
London | £100,000–£120,000 + Bonus & Benefits
An established and growing global financial services organisation is looking to appoint a SOX Senior Manager to join its London-based controls function.
Operating within a complex, international and highly regulated environment, this is a senior role with responsibility for the delivery and ongoing development of the firm's SOX programme and financial controls framework.
The position offers significant exposure across Finance, Risk, Treasury, Operations, Technology and Front Office functions, as well as regular interaction with senior management and external auditors.
The Role
Reporting to senior SOX leadership, you will take responsibility for key elements of the annual SOX programme, including:
- Leading SOX risk assessments, scoping, walkthroughs and control testing across key financial reporting processes
- Overseeing design and operating effectiveness testing and reviewing work completed by members of the SOX team
- Assessing control deficiencies and supporting management with remediation plans
- Maintaining and enhancing process documentation, risk and control matrices and the wider financial controls framework
- Supporting management's SOX certification process
- Managing relationships with key control and process owners across Finance, Risk, Treasury, Operations, Technology and Front Office
- Acting as a key contact for external auditors and coordinating SOX testing requirements
- Supporting the assessment of IT application controls, SOC reports, information used in controls, EUCs and Management Review Controls
- Providing senior management with clear reporting on SOX status, control deficiencies and remediation progress
- Supporting the integration of new businesses, systems and processes into the SOX framework following acquisitions and change programmes
- Identifying opportunities to improve and automate the controls environment through technology, data analytics and continuous controls monitoring
- Coaching and overseeing SOX analysts/associates
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About You
We are looking for an experienced SOX / financial controls professional with a strong background in financial services. You are likely to have:
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- Significant experience within SOX, financial controls, internal audit or external audit
- Strong knowledge of SOX 302/404 requirements and financial reporting controls
- Experience within banking, broker-dealers, capital markets, asset management or a similarly regulated financial services environment
- Experience leading SOX testing programmes and reviewing the work of others
- Strong knowledge of control design, operating effectiveness testing and deficiency assessment
- Experience dealing directly with external auditors and senior business stakeholders
- Exposure to ITGCs, application controls, SOC reporting and technology-related controls
- Strong project management and stakeholder management skills
- ACA, ACCA, CIMA, CPA or equivalent qualification preferred
- Big 4 audit or advisory experience would be advantageous
This would suit an experienced SOX Senior Manager / VP-level Financial Controls professional looking for broader ownership and exposure within an international financial services organisation undergoing continued growth, investment and change.
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