Associate - Risk & Control - SOX - Banking

Associate - Risk & Control - SOX 404/SOX Testing - Banking

This is an individual contributor role and shift timings are 2pm to 11pm

The candidate's key responsibilities include but are not limited to the following:

- Support Control & Operational Risk Evaluation (CORE) which includes detailed risk and control assessments, ongoing monitoring of controls through KPI/KRIs, performing controls testing & evaluation.

- Support the Sarbanes Oxley (SOX) and CCAR CFO Attestation (CCAP) Program i.e. controls scoping & risk assessment, testing & evaluation, secondary review and reporting.

- Issue and Action Plan Management - Partnering with business to ensure timely & appropriate closure of issues/action plans (includes monitoring & independent validation of action plan closure).

- Co-ordinate access recertification (bi-monthly) for the Segregation of Duties (SOD) program (i.e. toxic combinations review).

- Support strategic initiatives and projects (e.g. controls around Models, User Tools, other automation tools and ad hoc controls initiatives sponsored by the business).

- Design / contribute and implement policies & procedures related to control initiatives.

- Support other control programs and initiatives across CTC (e.g. Governance Committees, Records Management, Inter-Affiliate Services (IAS), SOX/CCAP/QA program, Quarterly Management Representation Letter etc.)

- Ensure all control tools are maintained and updated (CORE, UWAT, EMD etc.)