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Reference Number:
4028
Job Description:
Global Investment firm is looking for an experienced Auditor/Sox Compliance individual to join their team.
Primary responsibilities include:
Evaluating the existence, design, and operating effectiveness of processes and controls, including testing of controls to ensure that they are operating, and that there is sufficient evidence of procedures being performed. Includes: Designing control audit programs; testing of controls; communicating exceptions resulting from the testing phase to the appropriate level of management for remediation; coordinating, assisting, and reconfirming to ensure that exceptions are appropriately resolved.
? Ensuring that appropriate and required documentation in support of key processes and controls are maintained.
? Providing guidance to the business units to create the required
documentation in accordance with company Standards.
? Monitoring to ensure that the process documentations
are current and up-to-date.
? Consulting with management of the business units in the design and
implementation of new or enhanced processes, with the goal of strengthening controls, meeting business objectives and meeting corporate governance requirements.
? Demonstrating a solid understanding of top-down risk-based approach to control assessment.
? Continuing education and development, particularly in areas related to corporate governance including Sarbanes-Oxley.
? Understanding the company and the industry in order to identify and evaluate key business areas, their respective business processes and controls.
Ideal candidates will have:
? Min 4 years audit experience, including work in the areas of audit program design, control assessments and conducting various stages of operational audits.
? Work experience in the areas of creating and implementing policies and procedures, including flowcharts, narratives, and manuals.
? Bachelor?s degree or equivalent. Course work in the areas of auditing, internal controls and accounting are definite assets.
? Professional Accounting or Auditing designations. CPA or Chartered
Accountancy qualification preferred.
? Big 4 experience considered a plus.
? Work experience in the investment management industry and/or financial sector will be viewed favorably.
? Knowledge of regulations governing the investment management industry.
? Professional and effective communication skills both written and orally.
? Ability to interact and work with various levels, from staff to management.
? Ability to provide advisory support to business unit leaders in the identification and design of controls, remediation of exceptions and process improvement initiatives.
? Ability to work independently as well as a contributor to the team.
? Proficient computer skills including applications within the Microsoft Office suite, and the ability and willingness to learn other applications as required.
? Ability to exercise sound independent judgment.
? Ability to complete assignments on a timely basis with minimal supervision.
? Ability to prioritize and deal with multiple projects or assignments.
? Ability to provide guidance and/or expertise on various assignments.
SEND RESUME AS AN MS WORD ATTACHMENT TO diane@dmstone.com
Experience Level:
Unspecified
Requirements:
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