Prudential - Assistant Manager - SOX

Overall Job Purpose:

- Participate in the delivery of the annual testing of key processes and controls within the scope of Sarbanes-Oxley Section 404 (s404) testing programme with responsibility for testing in certain areas of business.

- This role is likely to involve considerable travel

Accountabilities/Responsibilities:

Sox Responsibilities:

- To support the annual s404 compliance activity and the delivery of an accurate CFO and CEO s404 attestation

- Agree the scope of the annual SOX 404 Internal Testing Programme with the SOX Controller

- Participate in the execution of the annual SOX 404 Internal Testing Programme.

- Review test results and manage, to resolution, issues arising from the annual SOX 404 Internal Testing Programme.

- Provide an opinion to senior management on the adequacy of its controls over financial reporting for SOX 404 Compliance.

- Liaise with the SOX Controller and other PRU business units and external auditors (KPMG) as necessary.

- Support the process to ensure sign off of the CFO and CEO.

- To lead and participate in the preparation and execution of SOX testing fieldwork within business areas

- Ensure succinct testing reports are provided for the processes outlined above, communicating the results in clear & concise manner, identifying the salient points and any issues which require further investigation

- Manage the resolution of process/control issues, ensuring the accurate and timely identification of any issues which require escalation

- Contribute to debriefs with key senior internal personnel in order to communicate and appraise the results of SOX testing, advising on the process for remediating any control failures

- Support the objective of establishing a centre of excellence for Sarbanes-Oxley Section 404 testing.

- To lead or participate in the annual SOX Documentation exercise, identifying process and control books which require updating and coordinating the process for their amendment with the relevant SOX Coordinators across the business

- Identify and escalate any control issues to the Testing Manager and support the Testing Manager in all aspects of the annual SOX regime

- Deliver on other projects as identified and assigned by management.

- Coordinate and support the Senior Accounting Officer testing across identified BU's

Key Interfaces (please detail purpose and level of contact):

Internal External:

- SOX Controller & team

- SOX Testing Manager

- SOX 404 Internal Testing Team

- SOx Co-ordinators - with specific responsibility for certain areas of the business

- Business Process & Control Owners to co-ordinate the annual SOX Internal Testing Programme.

- Internal Audit - co-ordination of testing. - External auditor, as required, for co-ordination of testing.

- Third party suppliers, as required to undertake testing of related controls, expected to be limited.

Competence / Knowledge / Skills required

Knowledge & Skills: (Key)

- Sarbanes-Oxley / audit experience (especially Asset Management companies / Insurance Companies)

- Good communication skills (written & verbal) with all levels of the organisation.

- Self-starter and highly motivated.

- Strong interpersonal & influencing skills and an ability to work in a team environment.

- Enthusiastic and energised.

- Ability to work minimal supervision and deliver to tight deadlines.

- An advanced knowledge of Microsoft Office application skills.

- Report writing

Knowledge And Skills: (Desirable)

- Knowledge of UK assurance and pension industry including operations is desirable, but not essential.

- Strong organisational and planning skills.

- Knowledge of Fund accounting

- Knowledge of Investment and derivatives accounting

- Experience in using Open Pages system

Education, Qualifications Necessary:

- Qualified Accountant (or equivalent experience).

- CISA qualification is desirable

Experience: 3-5 years.

Behaviours:

- Should display PRU Behaviours