Director at Enrich & Enlight Business consulting Pvt Ltd
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AVP/Manager - Controllership Governance/IT SOX Compliance (8-15 yrs)
- Manage IT aspects of the SOX compliance program and related activities.
- Assess and monitor the IT control environment to identify IT control objectives, risks, applications, third-party suppliers, and controls relevant to compliance with SOX.
- Evaluate the impact of IT related process changes on financial reporting risk, SOX compliance objectives, and the SOX control testing scope.
- Evaluate process owner response to end-user control considerations and the impact of testing results in the SSAE 18 SOC1 reports for in-scope third party service providers.
- Identify and evaluate the impact of IT related control gaps and deficiencies.
- Identify application controls and ensure that the financial control scoping is appropriately relying on applications controls to avoid over-testing
- Assist with the development and maintenance of the annual SOX testing scope and plan.
- Prepare and maintain required documentation to a high standard of quality.
- Communicate IT SOX testing requirements, control gaps, and control deficiencies.
- Monitor IT SOX testing and deficiency remediation. Escalate concerns or delays.
- Support SOX program update and progress reporting.
- Provide advice on control design, deficiency remediation, and process documentation.
- Identify and communicate process and control improvement opportunities.
- Support data driven process monitoring, testing, and automation initiatives
- Work with the Controllership Governance leader to define and prioritize data driven process monitoring, analysis, and automated testing goals.
- Support initiatives to automate and standardize workflows and reporting.
- Identify, acquire, and prepare data for use in analysis, automated testing and reporting.
- Develop, maintain, and execute automated testing scripts.
- Identify, analyze, and interpret trends in monitoring data sets.
- Execute assigned Governance testing and monitoring requirements.
- Design and prepare reports of Controllership Governance activities and process monitoring trends. Perform other duties as assigned.
- Bachelor's degree in Computer Science, Information Management, Finance, Accounting, or a related field.
- Minimum 8 years of experience in audit or SOX requiring knowledge of auditing principles, auditing standards, IIA standards, PCAOB, and SOX requirements.
- Experience in IT General Computer/Application controls and understanding of IT platforms, applications and related technology.
- Experience with the Committee of Sponsoring Organizations of the Treadway Commission (COSO) framework and its
- supplement the Control Objectives for Information and related Technology (COBIT)
framework for IT controls.
- Experience performing data driven analysis and testing.
- Knowledge of statistics and experience using statistical packages for analyzing datasets (Excel, SPSS, SAS etc)
- Financial Services industry experience highly desired
- Prior experience managing IT SOX and/or FDICIA programs
- 3+ years- experience in the IT internal controls over financial reporting
- Familiar with SSAE 18 requirements
- Strong written and oral communication skills.
- Ability to communicate with stakeholders of all levels.
- Ability to work independently and at a fast pace.
- Familiarity with and operating understanding of consumer loan products and processes.
- Excellent analytical and problem-solving skills.
- Attention to detail and follow up skills are essential.
- Adept at queries, report writing and presenting findings.
- Formal Project Management experience is a plus.
- Certified Information Systems Auditor (CISA) or similar certification(s)
- Proficiency in MS Office applications
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