Regulatory Compliance

Internal Controls Associate

Ref: 335| Posted: 30th Jul 2018

This vacancy is now closed


Our client is looking for an Internal Controls Associate to join their Financial Control team, responsible for supporting the Sarbanes Oxley 404 (SOX) program and overall departmental Regulatory agenda.



Our client is an Investment Bank with a world-class reputation for quality and service.  The talent and passion of its people has been critical to its ongoing success.  The company provides a strong foundation for building a professional career – a place for people to learn, to achieve and to grow, sharing a common set of values rooted in integrity, excellence and a strong team ethic.



  • Professional Accountancy qualification (CA, ACCA, CIMA)
  • Prior experience of Internal Audit and/or Sarbanes Oxley (SOX) would be beneficial.
  • Strong analytical, organisational and documentation skills
  • Critical dependency on strong oral and written communication skills, with the ability to communicate with key stakeholders and Senior Management
  • Proficiency with data management, End User Computing Tools (spreadsheets and databases) and other standard computing applications (PowerPoint and Word)
  • Ability to manage work load effectively, develop practical solutions to problems whilst balancing multiple issues and priorities appropriately
  • Confident working in a dynamic environment under tight deadlines



  • Identify, document and assess key controls across Finance and Operations, as well as work with the business areas to institute proper controls and remediation strategies
  • Support of the SOX internal controls evaluation and testing, including the Segregation of Duties (SoD) review process
  • Communicate findings and recommendations to management, determine root causes, obtain management's action plan for remediation in a timely manner and track findings through resolution
  • Develop and manage working relationships with key stakeholders, including Risk Managers and Business Process owners
  • Track metrics and coordinate reporting to project working groups, steering committees, senior management and external auditors
  • Document control deficiencies which are clear, concise and provide value to management
  • Comfortable with documenting front-to-back process and product flows



Competitive salary and benefits package