Connecting Talent to opportunity

Connecting Talent to opportunity

SOx and Financial controls – Senior Manager


Job Description:

SOx and Financial controls – Financial Services Consulting – Senior Manager


My client is  leading consultancy and they are seeking a SOX Senior manager to join their financial services consulting team. The successful SOX Senior Manager will be working on a variety of engagements for Banking and wider FS clients and the role will involve the following responsibilities:

  • Develop and maintain relationships with senior management at clients, to position the firm for opportunities to generate new business
  • Be part of wider sales and marketing, asset development and business development activities.
  • Develop the UK Controls Framework practice –  oversee junior team members, on board new joiners, help design and deliver trainings, act as appraisal manager and be a role model to others in the team
  • Deliver large, complex Advisory Engagements (controls  Sarbanes-Oxley assistance, Risk Assessments, Maturity Assessments) for clients including activities such as; Design and development of risk assessments, develop Target Operating Models and technical support for controls transformation engagements, deliver risk assurance engagements, and oversee quality of deliverables produced by teams across different disciplines. 
  • Develop and execute methodologies and solutions specific to UK requirements including considerations UK Controls Framework regulation in the context of the Brydon report.
  • Act as Control Framework technical lead and support on complex transformation projects and Sox-like implementations
  • Manage the day-to-day interactions with clients on the ground and be able to confidently deal with more senior Management at our client

Essential skills for the successful SOX Senior Manager :  

  • Minimum seven years of experience of controls implementation or assurance – experience may be from industry, consulting, auditing, risk management, or operational roles.
  • Must have Financial Services expertise and ideally have had experience auditing, assuring or executing financial processes in banks such as valuations, credit, EIR. Broader technical expertise in respect of controls over complex financial models a benefit.
  • Understanding of IFRS accounting framework is required and accounting qualification is preferable.
  • Must be conversant with SEC and PCAOB rules/hot topics and have had first-hand experience with FS SEC registrants’ SOX programmes.
  • Demonstrated ability to identify business opportunities, lead project engagements, attract new business, and build lasting professional relationships with senior client executives
  • Ability to identify observations and recommendations for business operations and control issues in correlation with key risk disciplines (including financial reporting, regulatory, and operational)
  • Advanced risk, controls, accounting and / or information technology operations knowledge, as well as command of Generally Accepted Accounting Principles, SOX, Committee of Sponsoring Organizations and/or Control Objectives for Information and related Technology control framework
  • Previous experience leading teams and managing projects, and accustomed to taking an active role in executing engagements
  • Experience in evaluating Design and Operating Effectiveness under SOX 404, ICFR assessment and either management attestation (404a) of audit experience (404b) is required
  • Possesses and applies a relevant subject matter expertise for control frameworks ideally including Sarbanes-Oxley, UK Corporate Governance and technology.
  • Experience in building a business, including a history of successful business development and/or asset development.
  • Experience of overseeing and leading a team and developing diverse talent.





  • Job Type

    Permanent, Full Time

  • Additional Salary Info


  • Work Authorisation

    United Kingdom

  • Industry Sector Finance
  • Years Experience

    7+ years

  • Career Level

    Manager (Manager/Supervisor of Staff)

  • Educational level

    Master's Degree

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