3 Sox Advisory Jobs

As the leading provider of professional services to the middle market globally, our purpose at RSM is to instill confidence in a world of change, empowering our clients and people to realize their full potential. Our exceptional people are the key to our unrivaled, inclusive culture and talent experience, as well as our ability to be compelling to our clients. At RSM, you will find an environment that inspires and empowers you to thrive both personally and professionally. We believe there is no one like you, and that's why there's nowhere like RSM. Qualification And Minimum Entry Requirements As a Chartered Accountant with 2 to 3 years of experience in US-based internal audit, SOX advisory, financial controls, contract compliance, and credit reviews, you should have a strong understanding of financial and operational audits. Additionally, you should have the ability to design and assess internal controls over financial reporting and SOX 404. Advanced proficiency in Excel, Word, PowerPoint, PowerBI, MS Forms, and MS Visio is a must, along with openness to leverage new tools. You should be comfortable with a hybrid work environment and possess strong project management, time management, prioritization, and multitasking skills. Excellent verbal and written communication skills in English are required for frequent communication with RSM International clients. Moreover, you should be willing to travel to meet business needs and work collaboratively with others in-person and remotely. Position and Key Responsibilities As a member of RSM USI's growing Process Risk and Controls Practice, you will have the opportunity to draw from your experience and knowledge while continuing to grow your leadership skills through a high degree of client and industry exposure, career development and mentorship opportunities, and a diverse and inclusive culture. The fast-paced and dynamic environment in which we operate will provide you with daily challenges and exciting opportunities. In the Process Risk and Controls Practice, you will frequently work with US engagement teams, a client's internal audit function, the chief risk officer or risk function, Sarbanes-Oxley project team, and various other members of management tasked with managing risk. Our advisors help clients with identifying and prioritizing risk, as well as leveraging process and controls to reduce risk exposure. Contributions to Firm Culture Be open to new ideas and challenges, and help foster a culture that encourages people to ask questions, think creatively, seek diverse perspectives, and challenge those around you. Develop executive presence through interactions with management within RSM and our clients. Develop meaningful relationships with client personnel and colleagues. Support RSM's goals around diversity and inclusion by nurturing an environment that understands individuality, promotes authenticity, and values varied perspectives in arriving at solutions. Client Experience Model the core RSM values of respect, integrity, teamwork, excellence, and stewardship in all interactions with clients and team members. Learn about the industries and clients that we serve in the middle market and leverage your understanding to become your clients" trusted advisor. Execute components of internal audit under the offshore delivery model in an effective and efficient manner. Independently implement and coach associates on foundational industry policies, procedures, and work-programs. Participate in risk assessment management interviews, update risk assessment models, and complete the initial draft of identified risks. Create/review narratives or flowcharts for a process, identify and review all risks and controls for a process as needed. Review, document, and test controls design and operating effectiveness for business process transactions, access controls, segregation of duties, and automated controls for internal audit, Sarbanes-Oxley. Perform the first level review of associates" work for accuracy, completeness, and well-reasoned conclusions, and complete status documents for client delivery. Use problem-solving and critical thinking skills to quickly identify internal control deficiencies, evaluate their risk implications, and draw appropriate conclusions to best advise clients. Exercise professional skepticism, judgment, and adhere to the code of ethics while on engagements. Manage multiple concurrent engagements and ensure service excellence through prompt responses to internal and external clients, while actively contributing to other firm initiatives. Work collaboratively as a part of the team and communicate effectively with clients and RSM consulting professionals, supervisors, managers, and senior management in the U.S. daily. Challenge yourself to think creatively, strive for growth through development opportunities, and maximize results while working within a team environment. Talent Experience Encourage colleagues to think creatively, strive for growth through development opportunities, and maximize results while working within a team environment. Proactively seek out opportunities to learn from team members, build a coaching/mentoring network, and take advantage of training opportunities to continually expand skills and leadership capability. Maintain willingness to give and receive candid feedback in both written and verbal form. Commit to self-development in response to constructive feedback received. Help, guide, and provide feedback to associates assigned to work with you. Support recruiting efforts by understanding and promoting the RSM brand. Business Development Participate in relevant industry associations and learning/development events to build industry perspective and contacts. Subscribe to and actively read industry publications and share relevant information with clients as considered applicable. Gain knowledge of key fundamentals, regulatory environment, and terminology for your relevant industries. Build an internal network and become aware of other services provided by the firm. At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life's demands while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/india.html. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please send us an email at careers@rsmus.com.,

Responsibilities: Frequently work with US engagement teams as or alongside a clients internal audit function, the chief risk officer or risk function, Sarbanes-Oxley project team, and various other members of management tasked with managing risk. Help clients with identifying and prioritizing risk and leveraging process and controls to reduce risk exposure. Create/review narratives or flowcharts for a process. Identify and review all risks and controls for a process as needed. Use problem solving and critical thinking skills to quickly identify internal control deficiencies, evaluate their risk implications, and draw the appropriate conclusions to best advise our clients. Exercise professional skepticism, judgment and adhere to the code of ethics while on engagements. Work collaboratively as a part of the team and communicate effectively with clients and RSM consulting professionals, supervisors, managers, and senior management in the U.S. daily. Encourage colleagues to think creatively, strive for growth through development opportunities, and maximize results while working within a team environment. Participate in relevant industry associations and learning/development events to build industry perspective and contacts. Subscribes to and actively read industry publications and share relevant information with clients as considered applicable. Gain knowledge of key fundamentals, regulatory environment, and terminology for your relevant industries Build an internal network and become aware of other services provided by the firm. Required Qualifications: Chartered Accountant with 2 to 3 years of experience in US-based internal audit, SOX advisory, financial controls, contract compliance, and credit reviews Strong understanding of financial and operational audits, and ability to design and assess internal controls over financial reporting and SOX 404 Must have advanced proficiency in Excel, Word, PowerPoint, PowerBI, MS Forms, and MS Visio and openness to leverage new tools Comfortable with hybrid work environment, strong project management, time management, prioritization, and multitasking skills. Excellent verbal and written communication skills in English required for frequent communication with RSM International clients Ability to travel to meet business needs and work collaboratively with others in-person and remotely

About this role: Wells Fargo is seeking a Financial Controls Analyst In this role, you will: Consult with the line of business and enterprise functions on financial reporting or information technology governance, and controls and oversight matters Identify compliance and risk management requirements for supported area Provide oversight for testing and monitoring involving moderate to complex subject matter or control areas Communicate and provide consultation regularly with stakeholders throughout the enterprise Implement, operate, and report results of certain elements of the company's policy, governance and oversight framework Support implementation of moderate to complex projects and initiatives Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Required Qualifications: 2+ years of Finance, Accounting, Analytics, Reporting or Business and Technology Audit experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Bachelors/ Post graduate in Accounting, Finance or Business Administration. Experience in one or a combination of the following: Finance, Accounting, Analytics, Reporting. Knowledge and understanding of regulatory agencies: Federal Reserve and OCC. Minimum two years at Big Four/super regional public accounting firm with experience in IT audit and/or IT SoX advisory/ consulting service. Prefer one or more of the following certifications: CISA, CISM, CISSP. Practical experience performing IT audit/IT COSO application control testing. Strong critical thinking skills with ability to credibly challenge status quo experience with continuous improvement of application control testing processes and results. Strong relationship management skills; ability to negotiate difficult positions without harming relationships. Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills Intermediate Microsoft Visio skills A Masters of Business Administration (MBA) or a Certified Public Accountant (CPA) Designation Ability to prioritize, meet deadlines, and achieve goals and work under pressure in a dynamic and complex environment Excellent verbal, written, and interpersonal communication skills Ability to take on a high level of responsibility, initiative, and accountability Job Expectations: Providing meaningful assessments of IT control environments impacted by financial, risk, and regulatory reporting; Assessing adherence to Well Fargo & Companys COSO based policies for IT controls impacted by internal controls over financial reporting (SEC and Regulatory Reporting) and strategic planning for ongoing IT control adherence to COSO policies (proactive anticipation of internal control related matters. Monitoring new and emerging internal control related guidance and issues and assist with facilitating group-wide training to interested and impacted stakeholders. Providing consultation and subject matter expertise for process and IT control related matters including evaluating severity of control deficiencies and related remediation efforts. Providing process and control support and thought leadership for projects and interfacing with external auditors, regulators and others on control related matters. Acting as a change agent for continual improvement of the control environment. Individual will be responsible Leading the IT Application Controls (ITACs) COSO test work. Partnering with IT and business Process Owners/Control Owners to document significant in-scope processes according to corporate COSO policy (both process narratives and process flow diagrams). Additionally, assessing the appropriateness and completeness of key risk and key application controls identified; Performing walkthroughs of significant processes and ensure required COSO documentation is accurate and reflects relevant business risk and key application controls; Partnering with IT and business Process Owners/Control Owners in the creation of process risk assessments (RAM) as well as validating and challenging risk assessment conclusions; Validating and providing credible challenge to identified shared services, third party service providers, and significant applications; Performing COSO testing of key application controls, including design effectiveness assessments and operating effectiveness testing. Validating and challenging documentation of application control deficiencies, including issue description, root cause, unmitigated impact, and corrective actions. Analyzing the severity of application control deficiencies, and their impact to internal control over financial reporting. Validating corrective actions and Building relationships and collaborating with key stakeholders in the applicable line of business and IT functions related to assigned process areas. Assisting with projects impacting the team.