Financial Controls Manager - Risk Controls, Finance / Treasury / SOX / Sarbanes-Oxley

  • c.£75k plus Benefits and Bonus
  • London, England, United Kingdom
  • Permanent, Full time
  • Maxfield Search
  • 09 Aug 17

My client, a leading Global Banking Group with an excellent reputation and strong UK presence, is looking for an experienced Controls Manager with good Treasury product knowledge (FX, Options, Currency, Swaps, Futures, Money Markets) to join their Financial Planning & Internal Controls team. You will be engaging with, as well as challenging, different business areas and performing assurance reviews, identifying key risk & control issues and reviewing key SOX controls. Strong knowledge of Sarbanes-Oxley is highly desirable.

One of your key objectives will be to oversee and perform quality assurance reviews of the SOX processes and provide subject matter expertise in improving operational efficiency.

Other responsibilities include:

  • Identify remediation actions for control weaknesses whilst performing business risk assessments
  • Perform regular updates and reviews of the SOX process documents and business control documents to ensure the they reasonably reflect existing procedures and comply with company methodology
  • Conduct efficient and effective execution of SOX walkthroughs and provide regular update of SOX exceptions to various internal sources for example Financial, balance sheet & loss reports, internal / external audit reports etc.
  • Liaise with stakeholders, i.e., Operations, IT, external auditors, internal auditors and Central Finance function on SOX related affairs.
  • Identify risks and key controls in Treasury Business area (namely Money Market, Swaps and Forwards)
  • Ensure bank's compliance with SOX and other internal and external compliance/control matters e.g. spreadsheets controls.

Key skills:

  • Good communication skills - Build and maintain good relationships with key stakeholders and colleagues
  • Excellent report writing skills, particularly to write meaningful reports under tight timeframes.
  • The ability to reach concise conclusions and convey them orally or in a written synopsis
  • A team player with a attitude of supporting the team and eager to learn
  • Highly organised and can work with great accuracy in an effective time management
  • Strong skills in Microsoft Office (Excel, Word, PowerPoint)
  • Strong business and work ethic - committed and dedicated at all times.
  • Ability to manage and prioritise workloads
  • Able to proactively look for improvement in processes and identify areas and processes that can be streamlined.