Senior Manager - Internal Controls/SOX

  • Negotiable
  • Manhattan, NY, USA
  • Permanent, Full time
  • Michael Page International - US
  • 17 Jan 18 2018-01-17

* Conducting internal controls and SOX work across a variety of business units and heavily interacting with senior management in the firm on a global scale * Leading engagements and staff members through engagements in New York as well as London

  • Global financial services firm with offices in all major financial centers throughout the world
  • Specializes in institutional equity, fixed income sales and trading and serving the middle market with investment banking services


  • Assist with the planning of the annual, global SOX audit engagement, involving development of business understanding, risk assessment and audit approach.
  • Lead (and assist) the analysis and review of key internal control procedures, risk and control matrices, and test plans.
  • Responsible for interviewing process owners and communication with senior management.
  • Ensure that key controls identified in the narratives agree with control matrices, test plans and process flows
  • Coordinate the quarterly certification process within Europe and Asia; follow-up with process owners and escalate any issues to the Director, Sarbanes-Oxley & Internal Controls.
  • Maintain deficiency documentation and follow-up as to timely remediation and outstanding action plans
  • Knowledge of implementing spreadsheet controls for key Finance Excel spreadsheets
  • Keep up-to-date with SEC, PCAOB and FASB pronouncements
  • 10-15% Travel on a global scale


  • Bachelors or Master's Degree in Accounting, Finance, Economics, Information Systems or Business Administration
  • 5+ years of internal audit or public accounting assurance experience within the financial services industry
  • Public Accounting exposure is a plus
  • SOX and internal controls experience is a must
  • Ability to lead engagements and partake in the hands on testing work
  • Skills to mentor and oversee junior level staff
  • Ability to work in a collaborative, team environment
  • Up to date with new and emerging financial products
  • Ability to interact with the department head and global leaders in the organization
  • Strong written and communication skills when interacting with staff, management and outside business units
  • Certifications preferred (CPA)
  • Ability to succeed in a fast paced and changing environment
  • Keeping abreast with regulatory demands and changes in the market

Job Offer

  • Competitive base salary
  • Performance based bonus
  • Performance based flexibility and work life balance
  • Competitive benefits including life, health, dental, 401k and PTO