Primary purpose of the job:

The IT SOX Compliance Specialist reports to the Global SOX 404 Controls & Compliance Associate Director. This role is responsible for assisting with the company annual SOX 404 compliance cycle and corresponding activities. The core responsibilities include the mapping out and in-depth testing of relevant business process controls, identifying and reporting of control gaps, follow up of remediation actions, and educating control owners and business functions on controls compliance. This role is critical to the ongoing evolution of the firm’s SOX 404 program.

Responsibilities of the job-holder:

• SOX Documentation: Assist the process owners with updating process flowcharts and other, key SOX documentation as needed
• SOX Project Management Participation: Assist with the strategic annual, quarterly and on-going Sarbanes-Oxley 404 and 302 compliance delivery with SOX 404 compliance managers and their stakeholders.
• SOX Scoping: Will support performing a risk assessment analysis and scope SOX processes and controls in support of regions / C&W SOX 404 certification
• SOX testing: Perform SOX 404 controls testing for C&W locations globally, including testing areas such as revenue, purchasing, financial statement close, fixed assets, client accounting,payroll, IT General Controls, and corporate financial controls testing
• Internal Audit: Assist ad-hoc internal audit projects

Regular tasks:

• Process flowchart updates & mapping of key and non-key controls
• Completion of risk assessment analysis in order to scope out processes and controls per region to include in the annual SOX testing cycle
• Execution and documentation of process walkthrough discussions and associated controls

testing

• Follow-up and validation of controls remediation actions
• Assistance with delivering SOX Controls & Compliance trainings
• Liaison with the external auditors to facilitate their review and testing of the firm’s control

environment as part of the annual financial reporting cycle

Main records and documents kept by the job-holder:

• Process flowcharts
• Risk assessment documentation
• Process walkthrough and controls testing evidence documentation