Lead AnalystSenior Analyst SOX Audit & Control(Global Credit Rating Firm)

Riverforest Connections Private Limited

Job Location:

Bangalore - India

Monthly Salary: Not Disclosed

Posted on: 11 hours ago

Vacancies: 1 Vacancy

Job Summary

Job Description

We are looking for a talented and experienced professional with sound knowledge and experience in SOX Audit and Control for one of our global Investment Banking Clients.

Own the SOX risk assessment and scoping exercise to identify significant accounts disclosures and relevant assertions across investment banking asset management and trading divisions.
Design and evaluate the effectiveness of Internal Controls ensuring they mitigate risks associated with complex financial products and regulatory reporting.
Conduct end-to-end walkthroughs of high-risk business processes; maintain and update risk-control matrices (RACMs) process flowcharts and control narratives.
Perform and review Test of Design (ToD) and Test of Operating Effectiveness (TOE) for both manual business controls and IT General Controls (ITGCs).
Identify document and track control deficiencies; collaborate with process owners to develop robust remediation plans and verify the effectiveness of implemented fixes.
Act as a primary point of contact for external auditors to facilitate quarterly and year-end audits ensuring timely delivery of audit evidence and resolution of queries.
Prepare high-quality audit reports and presentations for senior management and the Audit Committee highlighting key control trends and systemic risks.
Provide expert guidance on the control implications of new accounting standards (e.g. US GAAP/IFRS) business process changes or the implementation of new trading and accounting systems.
Assist in SOX transformation activities such as controls automation standardization of controls environment and adoption of data analytics in testing.
Support the quarterly and annual SOX certification exercises.

Skills Required

Minimum of 5 years of experience in SOX Audit and Control roles.
Strong understanding of investment banking operations including derivatives fixed income equities and the lifecycle of a trade.
In-depth knowledge of Sarbanes-Oxley Act COSO 2013 framework and PCAOB auditing standards.
Proven experience in risk-based audit planning sampling methodologies and testing of complex spreadsheet/End User Computing (EUC) controls.
Familiarity with IT General Controls (Access Change Management Operations) and experience with GRC tools (ServiceNow Workiva or MetricStream) and ERP systems.
Ability to analyse large datasets to identify anomalies; proficiency in data visualization or CAATs (Computer Assisted Audit Techniques) is highly preferred.
Exceptional verbal and written communication skills with the ability to translate technical control language into actionable business insights for non-audit stakeholders.
Strong organizational skills with the ability to manage multiple workstreams and deadlines in a fast-paced high-pressure banking environment.

Required Skills:

SOX audit and controlRisk managementcomplianceInternal Controlstrade lifecyclesample methodologiesTesting

Job Description We are looking for a talented and experienced professional with sound knowledge and experience in SOX Audit and Control for one of our global Investment Banking Clients. Own the SOX risk assessment and scoping exercise to identify significant accounts disclosures and relevant assert...

Job Description

We are looking for a talented and experienced professional with sound knowledge and experience in SOX Audit and Control for one of our global Investment Banking Clients.

Own the SOX risk assessment and scoping exercise to identify significant accounts disclosures and relevant assertions across investment banking asset management and trading divisions.
Design and evaluate the effectiveness of Internal Controls ensuring they mitigate risks associated with complex financial products and regulatory reporting.
Conduct end-to-end walkthroughs of high-risk business processes; maintain and update risk-control matrices (RACMs) process flowcharts and control narratives.
Perform and review Test of Design (ToD) and Test of Operating Effectiveness (TOE) for both manual business controls and IT General Controls (ITGCs).
Identify document and track control deficiencies; collaborate with process owners to develop robust remediation plans and verify the effectiveness of implemented fixes.
Act as a primary point of contact for external auditors to facilitate quarterly and year-end audits ensuring timely delivery of audit evidence and resolution of queries.
Prepare high-quality audit reports and presentations for senior management and the Audit Committee highlighting key control trends and systemic risks.
Provide expert guidance on the control implications of new accounting standards (e.g. US GAAP/IFRS) business process changes or the implementation of new trading and accounting systems.
Assist in SOX transformation activities such as controls automation standardization of controls environment and adoption of data analytics in testing.
Support the quarterly and annual SOX certification exercises.

Skills Required

Minimum of 5 years of experience in SOX Audit and Control roles.
Strong understanding of investment banking operations including derivatives fixed income equities and the lifecycle of a trade.
In-depth knowledge of Sarbanes-Oxley Act COSO 2013 framework and PCAOB auditing standards.
Proven experience in risk-based audit planning sampling methodologies and testing of complex spreadsheet/End User Computing (EUC) controls.
Familiarity with IT General Controls (Access Change Management Operations) and experience with GRC tools (ServiceNow Workiva or MetricStream) and ERP systems.
Ability to analyse large datasets to identify anomalies; proficiency in data visualization or CAATs (Computer Assisted Audit Techniques) is highly preferred.
Exceptional verbal and written communication skills with the ability to translate technical control language into actionable business insights for non-audit stakeholders.
Strong organizational skills with the ability to manage multiple workstreams and deadlines in a fast-paced high-pressure banking environment.