Description
SOX Compliance Coordinator - Ops Risk - Investment Banking
6 months - Canary Wharf
Operations Control and Risk (OC&R) is a function within Global Operations that provides risk & control oversight and management information to Global Operations. The Risk Oversight SOX Management function is responsible for working in partnership with Operations product and processing areas to identify key control weaknesses and to assess and improve the overall control environment as it pertains to the Financial Balance Sheet.
REPSONSIBILITIES
* Build trusted partnership relationships with LRM (Line Risk Management), FA Ops Risk and members of line management team who are responsible for underlying process controls and ensure value added activities are performed to enhance their control environment.
* Communicate and monitor identified regional risk issues and suggest appropriate corrective action considering Global read across where applicable.
* Work with line management to understand general ledger account sign-off for Steering Committee meetings.
* Work to ensure that GLAO commentary is appropriate and properly address risk issues. Ensure targets are realistic and achievable
* Define and complete Global "deep dive" reviews as requested by line management or as required by QAR results
* Work with Global Operations senior management to review elements of the control framework (eg, SOx status/issues, GL Account Ownership sign-off, Incidents/Losses etc.) and ensure they are covered at the monthly Control Review meetings. Ensure all top control and risk issues are transparent.
* Partner with the Line Risk Management Team to identify and ensure operational incidents/losses are assessed for SOx Control Improvement Plan and reported timely in the Firm's MARCS monitoring system.
* Review events for potential control weaknesses and perform root cause analysis where required to ensure future risk is mitigated
SKILLS AND EXPERIENCE
* SOX expertise
* General Ledger Account Ownership (GLAO) exposure beneficial
* Experience or proven track record in Operational Risk disipline.
* Intermediate Powerpoint & Word skills.
* Solid influencing skills and ability to make compelling business cases
* Exceptional written, verbal communication and presentation skills
* Effective Analytical Skills
* An inquistive mindset with a desire to build professional relationships at all levels within the firm
Hy-phen Limited is acting as an Employment Business in relation to this vacancy.
The Adecco Group UK & Ireland is an Equal Opportunities Employer.