Summary of day to day responsibilities:

• The main function of a Senior Auditor – ICFR SOX Testing is to carried out a comprehensive testing of design and operational effectiveness of SOX/Internal controls over Financial Reporting:
o Test of internal controls over Financial Reporting
o Managing stakeholders
o Requesting Audit evidence and leading work throughs
o Documenting proper documentation of control testing

Key Accountabilities:

Customer

• Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion
• Develop/contribute to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly
• Manage the ongoing audit communications process with the client during and subsequent to the audit
• Present objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to client and audit management
• Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy
• Provide subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization
• Lead/support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks

Shareholder

• Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for own business area
• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level
• Prioritize and manage own workload to deliver quality results and meet assigned timelines
• Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate
• Develop and deliver audit findings, presentations / communications to management or broader audience
• Contribute to the analysis, due diligence and implementation of initiatives within defined area of responsibility

Employee/Team

• Continuously enhance knowledge / expertise in own area Support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency
• Establish effective relationships across multiple businesses
• Participate in knowledge transfer within the team and business units
• Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives

Breadth/Depth

• Experienced audit professional role providing guidance/ assistance to function supported
• Requires working professional level knowledge of the functional area and/or business areas supported
• May lead simple to less complex engagements/initiatives
• Independently perform tasks from end to end
• Ability to process and handle confidential information with discretion
• Generally reports to an Audit Group Manager or Senior Audit Group Manager role

Must have:

• Bachelor’s degree
• At least 3 years of experience in SOX controls testing, preferably from the Big Banks or Big 4 Audit firms.
• Strong English communication skills, interpersonal skills for interacting with stakeholders
• Microsoft – Excel (VLOOKUP, pivot tables, functions)

Nice to have:

• Automation skills – Alteryx, Python
• Experience auditing within financial institutions