Roles and Responsibilities :

The IT Sr. Manager, Financial Risk & Controls performs reviews of processes, procedures, risks and controls impacting financial reporting in order to evaluate best practices, efficiency opportunities and compliance with the requirements of the IT Sarbanes-Oxley Act (SOX).

In addition, the team member will work with SOX management team with certain SOX scoping exercises (with the support of the Head of Financial Risk & Controls); reporting of control testing (both design and effectiveness); coordination with the first line of defense on the following areas: documentation updates, quarterly 302 certifications and remediation; and coordination with internal and external auditors on audit issues impacting internal controls.

The team member will be responsible for managing reviewing IT General Controls (ITGC), ITACs (IT Automated Control) documentation and review of IPE (Information Produced by Entity) within the specified timelines. This position will lead and coach team members that will support various first line of defense areas.

Essential Functions :

1. Assumes responsibility as project lead for assigned SOX audit processes and provides advisory and consulting services to management under the direction of the US based SOX management team, including:

Analyzing financial controls, risks, procedures and processes.

Interviewing the first line of defense and validating that the end-to-end process documentation is updated, identify gaps, and design issues.

Reporting status and maintaining effective workflow.

Coordinating activities with the first line of defense, including setting up walkthroughs, testing checkpoints, and training.

Managing and coaching the team and reporting to IT SOX leaders around the progress, bottlenecks and challenges for SOX process areas.

2. Review working papers to ensure all documentation is in accordance with professional standards.

3. Oversee and review testing performed by Lead Financial Risk & Controls Analysts and Financial Risk & Controls Analyst.

4. Communicate deficiencies, assists the first line of defense with remediation plans creation, and confirm remediation plans are adequate to comply with professional standards.

5. Assist management with SOX progress reporting based on results of testing. Ability to write technical memos and prepare presentations that are clear and persuasive.

6. Acts as a liaison with both internal and external auditors. Assist with internal and external audit requests and respond to follow up questions timely

7. Contribute to any other projects or risk related activities as required.

Decisions:

Decisions related to the execution of detailed work product (i.e. walkthrough documentation and/or testing documentation) are made on a regular basis and in most circumstances, do not require pre-approval from the Head of Financial Risk & Controls.

Recommendations:

Recommendations related to the SOX program are routinely made and require approval from the Head of Financial Risk and Controls

Knowledge:

Strong / broad understanding of current accounting (U.S. GAAP), auditing (GAAS) principles and internal control concepts (COSO 2013) including IIA Standards and various auditing techniques.

Skills:

Strong project management and organizational skills, with the capability to work on multiple projects with minimal direction in a dynamic and fluid environment with rotating priorities.

Pro-active, high energy and strong interpersonal skills with a team-focused attitude, demonstrating the ability to collaborate and compromise while building constructive and effective relationships

Demonstrated critical thinking and analytical abilities, including problem solving and time management skills

Strong verbal and written communication skills

Competencies:

Proficient in Microsoft Office, Experience in SailPoint Integration, API Integration, Workday and SQL code review and Cloud Infrastructure Security, Knowledge around Cloud Migration, Risks associated with Cloud deployment will be added advantage

Software: Microsoft Office Suite, GRC / SOX Software a Plus

Required Education and Experience

Bachelors in technology having BTECH, M TECH, and or MBA., though not mandatory.

Min 10+ years performing audit work, which conforms to professional standards

Progressive experience in a combination of public accounting (Big 4 or large regional accounting firm) and/or internal audit experience with a background in financial services. Experience in Banking and Financial industries will be helpful, though not a mandatory requirement

Preferred Education and Experience:

Masters, MBA degree

Certifications: Professional certification such as CISA, CISSP, CPA, CIA, ISO 27001 Certifications preferred

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