Description
Sox Auditors/Testers
6 month initial contract
Can be based anywhere in the UK
The role
This will involve you taking responsibility for sections of the programme taking them through the complete life cycle from planning the testing to proposing and agreeing actions in response to findings.
Findings from the programme are reported to the firm's Executive Management Team (ExCo) the Audit Executive and Board plus Risk Committee,(amongst others) as well as to the firm's regulators.
The work will vary throughout the year as you take ownership of different sections of the programme and the role will give you an excellent opportunity to gain a thorough understanding of key risk areas within the business and to help develop and monitor improvements to the firm's controls and procedures.
You will be interacting with all levels of the organisation, as this is an internally facing role and where you will be representing the compliance assurance team in a role where you can significantly increase your network, build a career within risk management and work in response to regulatory requirements .
Key responsibilities
The key responsibilities are as follows:
- Completing testing as part of the UK firm's ongoing compliance programme.
- Liaising with key stakeholders, ie Functional Risk Management, Finance, Operations, Client Teams to obtain samples and discuss testing approach
- Assisting with root cause analysis and evidence of compliance or deficiencies within the testing remit
- Summarising the results of testing and liaising with the Risk Compliance Programme Manager and the Head of the Risk Compliance Programme to agree the findings and proposed actions.
- Reporting of findings alongside recommendations for improvements and areas where risk action plans are required to team and stakeholders
- Assisting and communicating with stakeholders on the monitoring of the Risk Compliance Programme action plan, which records the implementation of newly developed/improved controls and their effectiveness.
- Coaching other team members on compliance testing which you have performed in a previous period.
- Obtain responses for Risk Compliance Checklist including tracking and monitoring who has responded and then performing quality review of the responses that received.
- Closing off and updating relevant platform for file maintenance (eaudit/clara/GRC)
- Assisting with team members work load and work allocation and share knowledge proactively
- Being a Relationship Manager with the relevant business area allocated and sharing all testing requirements for the year to establish a better working relationship.
- Involvement in ad-hoc risk management projects as they arise.
- Monitoring the RCP inbox and allocating emails to the relevant team member and responding to ad hoc queries when required.
- Taking on additional responsibility as and when required and being involved in various ad-hoc tasks and projects by a Senior Team Member.
Qualifications, skills and behaviours
- Excellent oral and written communication skills.
- The ability and confidence to effectively question Partners and other senior personnel within the firm, listening, challenging and applying judgement to responses.
- Strong time management skills with an ability to prioritise and deal with conflicting demands.
- Proven ability to work both independently and as a strong team player.
- Ability to handle sensitive/confidential information appropriately.
- Pro-active approach and the ability to follow matters to a conclusion and suggest forward facing actions
- Prior compliance experience is desirable
- Knowledge of existing risk management systems (such as SAP/CEAC and Sentinel) an advantage