SOX Governance & Compliance Associate (VN3084)

Marex•Chicago, IL

1d•$125,000 - $140,000

About The Position

The SOX Governance & Compliance Associate will be responsible for supporting the Sarbanes-Oxley (SOX) control process for Marex activities in the Americas. These duties will include updating and maintaining process flow maps, oversight and completeness testing of control design and operational effectiveness, deficiency tracking and severity assessment, and other SOX related processes.

Requirements

Knowledge of SOX Section 302/404 requirements, and PCAOB auditing standards
Experience with Internal or external audit preferable as it pertains to SOX compliance
Experience in financial services activity including broker-dealers, asset managers or banking
Excellent verbal and written communication skills
Proficient in Microsoft Excel, Power Point and Visio
Experience with the use of AI technology to improve efficiency
Analytical and accounting skills
Demonstrates curiosity and is detail oriented
Resilient in a challenging, fast-paced environment
Excels at building relationships, networking and influencing others
Strategic collaborator with insight and agility, ensuring operational effectiveness

Nice To Haves

CPA, and/or financial controls certifications preferred

Responsibilities

Build and maintain relationships with control owners including personnel in Risk, Treasury, Finance, Operations and Front Office areas and gain commercial understanding of the relevant businesses and their operational processes.
Review SOX controls completed at all levels of business.
Maintaining process flow documentation to ensure the corresponding controls assigned are in compliance with SOX.
Review and Test Controls: Regularly assess the effectiveness of controls through testing and monitoring to ensure they are operating as designed and remain effective over time.
Perform scheduled testing of balance sheet substantiation controls and income statement controls, ensuring that the Control Owners take into consideration (where relevant):
Maintaining the internal controls assigned in compliance with SOX requirements, including EUC, IUC and MRC.
Duties include ensuring appropriate systems and controls are in place for reporting and compliance under SOX.
Support annual SOX related testing including by not limited to: IT Application Control testing, SOC 1&2 reports for in-scope applications, and other activities that require coordination with the Marex technology team.
Role model for demonstrating highest level standards of integrity and conduct and reflecting Company Values.
At all times complying with Marex’s Code of Conduct.
To ensure that you are fully aware of and adhere to internal policies that relate to you, your role or any other activities for which you have any level of responsibility.
To report any breaches of policy to Compliance and/ or your supervisor as required.
To escalate risk events immediately.
To provide input to risk management processes, as required.
The Company may require you to carry out other duties from time to time.