SOX & Operational Risk Specialist


Job description

Our client, a major  company, is looking for a SOX Specialist to work on a 12-months contract in Houston, TX.

Main Responsibilities:

  • Corroborate with the team to identify and provide recommendations for improved controls and enhanced business efficiencies.
  • Collaborate with cross-functional teams to implement process improvements.
  • Assist responsible departments with reporting requirements, maintenance of policies and procedures and control testing.
  • Assist in the review of policies and procedures.
  • Provide monitoring, reporting, and review of the status of open incidents until they are fully remediated.
  • Gather and monitor key performance indicators and compile monthly KPI dashboard for presentation to management.
  • Apply concepts of risk assessment.
  • Coordinate and ensure timely testing of key controls with appropriate personnel.
  • Assist with all aspects of SOX testing (Financial, Entity-Level, IT and Company Level).
  • Corroborate with the team in strengthening testing procedures used to assess internal controls.
  • Assess the adequacy of management’s plans for correcting audit findings and/or control deficiencies.  Provide monitoring, reporting, and review of the status of identified issues until they are fully remediated.
  • Develop and maintain effective business relationships with constituent staff and management.  Build partnerships with business areas to ensure understanding of audit scope, procedures, compliance with control requirements and reporting processes.
  • Assist in maintenance of the Operational Risk Program, including but not limited to New Product Approval and Non-Standard Deal Approval processes. Assist in monitoring and reporting on Operational Risk processes for presentation to management.
  • Adhere to all organizational and professional ethical standards.
  • Other tasks and duties as directed by the SOX and Operational Risk Manager.

Main requirements:

  • B.S. degree in Accounting (preferred) or Finance.  (must have one of these degrees)
  • 2-4 years experience in SOX and Internal Controls.
  • Prior experience with another trading company (preferred).
  • We are also highly interested in Big 4 Audit candidates since the majority of these have already obtained SOX experience while working at a Big 4 Accounting firm.
  • SOX reporting requirements and control testing which generally includes assisting in the review of SOX procedures and then providing recommendations for improved controls and enhanced business efficiency through incident reporting and control testing processes.   
  • Monitoring and reporting of Financial Controls
  • Strong Excel skills in pivot tables; V look ups and familiar with the associated formulas for V look ups.
  • Need someone who can apply “professional skepticism” and strong due diligence.
  • Highly motivated, Eager to learn and grow, acute attention to detail executed with minimal error margin, ability to multi-task, self starter.
  • Effective communicator and a team player is critical here as the role requires close collaboration with various departments, including Front Office, Credit and Risk, Back Office and Accounting, management, and external auditors.
  • Demonstrable willingness to learn (i) internal control system  and SOX disciplines, including their application into the company’s processes, and (ii) risk assessment processes and (iii) operating risk and KPI reporting.

Preferred Qualifications: 

  • Upstream OR  E&P experience
  • CPA, CFE, CISA, CIA or other relevant designation is not essential but would be a plus.

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