SOX Audit - Bank

A Leading foreign bank is looking for candidates with 2-8 years of experience in SOX, controls, testing and reviews.

Job Description:

The role essentially requires the IMT Procedural Controls team members to perform controls testing for vendor Procedural Controls mapped to onshore Key Procedural Controls. The key elements of activity include:

- Perform the Design Effectiveness (DE) and Operating Effectiveness (OE) testing as per the defined Testing Approach

- Address and clear any review points raised through Quality Assurance (QA) review in a timely manner

- Escalate any potential testing issues / exceptions to appropriate teams (Vendor Operational Risk Lead, Onshore Process Owner, and VRM)

- Inform Control Owners, onshore Process Owners and Finance Operational Risk Management (FORM) of any confirmed exceptions or fails

- Maintain the Issue Logs, ensuring they are kept up-to-date and detailed

- Confirm that when complete and any QA review points cleared, relevant testing is stored in central repository

- Participate in weekly/monthly progress meetings with vendor and UBS process owners and contribute to discussions around control issues and fails

- Perform testing of remediated controls and escalate any potential issues immediately

- Contribute to the status reporting in a timely manner