SOX Testing Senior Associate to VP - Investment Bank
Listed on 2026-10-08
-
Finance & Banking
Financial Compliance, Risk Manager/Analyst
SOX Testing Senior Associate to VP - Investment Bank (equivalent senior manager level - sole contributor)
Qualified accountant
From Big 4 or Top 60 Practice auditing FS clients (banks, commodities, brokerage, investment banks, traders), strong SOX
Client Details
Global Brokerage house with expanding digital lines
Solid leadership team, long term vision
Description
SOX Testing Senior Associate to VP - Investment Bank
City of London - 3x days a week in office
Brokerage - financial services
- Build and maintain relationships with control owners and key stakeholders across Risk, Treasury, Finance, Operations, and Revenue-Generating Business Functions, developing a strong understanding of business activities and operational processes
- Review and assess internal control activities across multiple business areas, including:
- Maintaining process documentation and control frameworks to ensure compliance with internal control and regulatory requirements
- Reviewing and testing controls to assess design and operating effectiveness through ongoing monitoring and periodic evaluation
- Supporting the implementation, monitoring, and validation of controls designed to mitigate financial reporting risks and strengthen the control environment
- Perform scheduled testing of financial control activities relating to balance sheet and profit-and-loss processes, ensuring control owners appropriately consider:
- Compliance with internal control requirements, including end-user computing controls, information used in controls, and management review controls
The adequacy of systems, processes, and governance arrangements supporting financial reporting and regulatory compliance
- Support annual internal control and compliance testing activities, including application-level controls, third-party assurance reporting, key technology-dependent controls, and coordination with relevant technology and operational teams
- Act as a role model by demonstrating high standards of integrity, professionalism, and ethical conduct
- Comply with the organisation's Code of Conduct and all relevant policies and procedures
- Maintain awareness of and adherence to internal policies relevant to the role and associated responsibilities
- Escalate policy breaches, control deficiencies, and compliance concerns through appropriate channels
- Promptly identify and escalation risk events and incidents
- Contribute to risk management, governance, and control enhancement initiatives as required
Profile
SOX Testing Senior Associate to VP - Investment Bank
City of London - 3x days a week in office
Brokerage - financial services
- Experience with Internal or external audit preferable as it pertains to SOX compliance - and PCAOB auditing standards
- Big 4 Audit or Top 60 Practice - working with relevant Bank, Investment Bank, Capital Markets, Brokerage, Trading clients
- Qualified Accountant
Job Offer
SOX Testing Senior Associate to VP - Investment Bank
- Base from £75,000 to £100,000
- Exceptional company benefits package (will disclose on application)
- Competitive bonus scheme
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).