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CIB F&BM Sarbanes Oxley Testing Associate, Mumbai, India

Req #: 170124717
Location: Mumbai, MH, IN
Job Category: Accounting/Finance/Audit/Risk
Job Description:
Business and Role Description:
This CIB SOX Control Officer role is part of the Corporate & Investment Bank (CIB) Finance Control Team and is responsible for providing support to the CIB Finance control Officer.  The CIB SOX Program is aligned to the CIB Controllers organization which is responsible for ensuring the overall integrity and validity of the control environment.  The role supports and liaises with the CIB Finance Control Office, which manages the RCSA and SOX programs for CIB Controllers
  • The SOX Compliance Program Associate is a member of the SOX Compliance team that is responsible for performance of assigned areas for the annual assessment of internal controls over financial reporting (ICOFR) to ensure compliance with the Sarbanes-Oxley Act.
  • The candidate is a key resource who executes the SOX assessment program to provide thorough and reliable identification of in-scope accounts and locations, planning, testing, documentation, and reporting of the effectiveness of ICOFR for delivery to senior management.
  • Performs critical reporting functions for the organization to support senior management’s attestation to the LOB Controllers and External Audit
  • Works to improve processes, and ensuring execution and implementation of the overall financial architecture. 
  • Is responsible for the overall ownership for executing the CIB SOX program and arriving at the LOB conclusion.
  • Assesses issues and errors for both the CCAP and SOX programs.
  • Coordinates with the Firm’s Corporate Capital Stress Testing Office (CCST) on policy, execution and assessment of issues.
Key responsibilities will include:
  • Assist in testing of risk based testing strategy which includes facilitating walkthroughs, test of design, development of test scripts for test of execution, collection of evidence, coordination of testing resources, testing, and status updates;
  • Coordinate with Process/Control Owner on testing schedule, process changes evidence gathering, analysis of potential issues, and evaluation of confirmed deficiencies;
  • Track the status of deficiencies and their remediation by process owners;
  • Report findings to SOX leadership and management;
  • Assist with performing detailed risk assessment;
  • Assist with monthly and quarterly reporting; and
  • Perform User Tool Testing
  • Support special projects, as needed
The candidate must be a self starter who is able to work in a fast paced, results driven environment, be confident and have excellent communications skills as the role will have global exposure, accountability and responsibility.  The role will provide daily interaction with all levels, working with business and functional partners. 
Qualifications / Skills Needed:
  • 6 years accounting/finance experience minimum
  • Bachelors Degree in Accounting/Finance
  • Strong knowledge of US GAAP and financial reporting requirements
  • Audit, internal control, product or financial control experience preferred
  • Strong interpersonal skills, relationship building and influencing skills to with the ability to effectively partner with all levels of management across numerous teams.
  •  Strong analytical skills
  • Strong written and verbal communication skills
  • Excellent multi-tasking and organizational aptitudes
  • Must have attention to detail and be a self starter
  • Excellent working knowledge of MS Excel (Pivot tables, v-lookups) and PowerPoint, Microsoft Access desirable
  • Knowledge of Corporate FORCE tool a plus
  • Knowledge of Visio/iGrafx a plus
Experience designing applications a plus 
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