AVP/VP - SOX Compliance

Job Purpose:

- Owns overall delivery of SOX, including management of the global teams based in London, India and New York

- Drives consistency in approach across the global SOX teams and the Group as a whole

- Maintains relationships with key department heads involved in the SOX process

- Manages relationships with external auditors

The key accountabilities for this role will be:

Team Management (30%)

- Project manage and work with the global SOX teams in India, UK and US and ensure that there is a buy-in for the SOX program.

- Work as an effective team lead - Manage and motivate direct reports and the entire team, identifying individual and team development.

- Conduct formal performance and development reviews for direct reports

- Conduct technical controls training for junior staff for controls operating across Product Control, Financial Control and Operations

- Cross regional SOX co-ordination

SOX delivery (70%)

- Plan and manage the team to deliver SOx compliance Design Effectiveness (DEA) and Operating Effectiveness (OET) testing plan effectively and efficiently.

- Manage relationships with the senior stake holders including specific department heads and BU CFOs

- Take a proactive and engaging approach in determining risk and control issues to ensure continuous improvement and challenge to the control environment

- Liaise with external auditors from planning through delivery of the SOx programme to ensure a smooth audit of the SOx controls

- Work closely with regional supporting teams to ensure continuous improvements of the process across the entire Group

- Proactive contribution to risk identification and ability to adapt SOx plan to manage risk

- Provide technical review of detailed working papers