Description
A large bank in Stamford, CT is looking to build out its team with an analyst for the Operations Risk & Control team. This vacancy is available for an individual to report to the Risk & Controls Manager and assist in the execution of the below activities as the team continues to meet BAU requirements as well as further broadening its coverage and workload.The Operations Risk & Control team are responsible for the following:
- Responsible for Operations SOX Compliance within the Americas Region of the Markets and Investment Banking Division
- SOX Compliance is inclusive of assessing Group Scoping, developing and maintaining SOX documentation, performing the adequacy assessment, independently testing the controls and assessing and escalating control issues to Management
- Responsible for generating the Risk and Control materials for interested parties
- Central point of contact for Americas Management, Operational Risk, Internal and External Auditors and Regulators relative to SOX-Compliance for Operations
- Leading and being involved in various cross-region / functional risk initiatives and forums for providing controls monitoring expertise
Responsibilities
- Assisting in further establishing the dedicated SOX function within Operations
- Developing, performing high quality testing and reporting on SOX business process controls
- Assisting the existing team with a growing population of key controls as result of addressing risks in current climate, refreshing the control set and adhering to the Group requirements
- Working with management on control deficiencies and developing action plans and remediation testing
- Assisting with the coordination of External Audit requests
- Ensure knowledge sharing across the team
- Investigating, analyzing and determining resolution for Risk and Control related matters impacting Operations
- Involvement in ad-hoc risk and control projects within Operations in coordination with central and regional counterparts
- Providing a strong Operations presence in cross functional forums and initiatives
Minimum requirements
- Working knowledge of audit and accounting methodologies and principles
- Strong oral and written communication skills
- Creative problem - solving ability and a consultancy mindset
- Flexible, self-starter possessing intellectual curiosity and good project management skills
- Ability to interact with Senior Management
- 4 year degree required in accounting or related discipline
- 2+ years of auditing experience required or controls related experience in Finance Services organization
- Financial Services industry experience required