Associate- SOX Tester

Primary Responsibilities

Stakeholder Focused:

• Become a trusted advisor and “go-to” controls person for the business.
• Liaise with process owners to understand processes, risks and controls.

One Team / One Voice:

• Be an accountable player, driving operational excellence and productivity by executing SOX activities with the wider SOX team.
• Commit to clear, concise and consistent reporting of status and results, from transition plans to weekly dashboards.

SOX Preparation:

• Be responsible for SOX tool readiness and updates for the respective portfolio.
• Ensure control language, IPEs, and test steps are up to date prior to assessing controls.
• Prepare a testing tracker for the respective control, to facilitate upload to the SOX tool.
• Assist in setting testing milestones in line with the central testing plan and manage timelines accordingly.
• Ensure control dependencies are properly identified and tested for the relevant period.
• Continuously monitor process changes and maintain new control attestations when required

SOX Testing:

• Send data requests to process owners and track receipt of supporting documentation, following up where necessary.
• Coordinate with Team Leads on the status of any cross-referenced controls in their own control test steps and ensure the referenced control was tested for reliance.
• Apply SOX methodology and standards to all SOX activities.
• Prepare testing workpapers and SOX tool details for the respective controls, prior to submitting to the External Auditor.
• Review External Auditors’ comments and communicate/discuss responses with the External Auditor.
• Monitor sampling reset for new control attestation and/or deficiency testing
• Align testing strategy to include automation, where feasible

SOX Reporting:

• Report control assessment status and follow up on documentation requests with the Process Owner (PO).
• Escalate bottlenecks where necessary to the Portfolio Team lead.
• Meeting all testing deadlines.

SOX Deficiencies:

• Review and evaluate potential deficiencies (Self-Identified, SOX, External Audit, Enterprise Risk Management, Internal Audit) with Senior Lead and PO once identified.
• Engage and report issues to Portfolio Team Leads and SOX Office in a timely manner to assist in evaluation.
• Track remediation, including management status and SOX testing to close.

SOX Tool Updates:

• Propose changes to the SOX tool based on discussion and agreement with PO.
• Go through the change management process (Approved by Senior Lead).
• Review changes made in the SOX tool to ensure accuracy and completeness.

Qualification & Experience (Academic, Professional, Relevant Job Knowledge)

• A minimum of 5-7 years’ experience in Controls with a focus on Sarbanes-Oxley 404, COSO, or Internal Audit
• Previous experience in Big 4 within Insurance / Retirement services background (e.g., annuity operations, actuarial and / or, reinsurance processes and controls) industry experience.
• Qualified Chartered Accountant or BS/BA degree in Accounting/Finance.
• CPA/MBA/CSOE certification preferred.
• Proficient in Microsoft Excel, Visio and PowerPoint; experience in GRC Tools- Archer a plus (preferred).
• A forward thinking, creative individual with high ethical standards.
• Detailed oriented with the ability to manage multiple priorities and meet timely deliverables.
• Comfortable operating both in a team environment and independently.
• Strong analytical and problem-solving skills.
• Strong written and oral communication skills and presence capabilities.

Experience:

CTC:

Location