SOX Risk Professional

Job Title

Partners with the Finance Business Line, other Risk / Compliance / Audit (RCA) professionals, and RCA Managers in the U.S. and Europe to create, implement, maintain, review or oversee an effective risk management framework.

Responsibilities include ensuring that processes and controls identified to mitigate financial reporting risks are properly designed and executed, including identification of gaps and solutions to minimize financial reporting errors resulting from inadequate internal processes, systems, or human error. Participates in projects and / or activities that ensure compliance with applicable federal, state and local laws and regulations. Identifies gaps and inform solutions that minimize losses resulting from inadequate internal processes, systems or human errors. Identifies, responds and / or escalates risks as appropriate. Serves as a functional liaison between the Line of Business and the Lines of Defense.

Duties include completing annual SOX walkthroughs of business processes for the purpose of determining whether control design and performance meet control objectives and are consistent with expected standards. Assists in quarterly self-assessments and certifications. Facilitates the documentation of business processes, which includes the identification and evaluation of specific control activities. Consults with the business lines on process changes ensuring that control design updates are appropriate. Reviews & maintains documentation in Archer eGRC with the intent of ensuring it is current, accurate and complete.

Basic Qualifications

Bachelor's degree, or equivalent work experience. Typically more than three years of applicable experience.

Preferred Skills / Experience

Three to five years of SOX and / or RCSA experience. Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business. Thorough understanding of the business line's operations, products / services, systems, and associated risks / controls. Thorough knowledge of Risk / Compliance / Audit competencies. Strong process facilitation, project management, and analytical skills. Must possess business acumen and credibility to help business line(s) proactively identify and address changing workforce needs. Excellent presentation, interpersonal, written and verbal communication skills. Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations. Applicable professional certifications preferred.