SOX Governance & Compliance Manager (VN3083)

Marex•Chicago, IL

1d•$200,000 - $235,000

About The Position

The SOX Governance & Compliance Manager will be responsible for managing the Sarbanes-Oxley (SOX) control process for Marex activities in the Americas. These duties will include updating and maintaining process flow maps, testing of control design and operational effectiveness, 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
Proficient in Microsoft Excel, Power Point and Visio
Analytical and accounting skills
Excellent verbal and written communication skills
Demonstrate curiosity
Resilient in a challenging, fast-pacing environment.
Takes a high level of responsibility.
Excels at building relationships, networking, and influencing others.
Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Nice To Haves

CPA, and/or financial controls certifications preferred
Experience with the use of AI technology to improve efficiency

Responsibilities

Collaborate with the SOX leadership team to plan, execute and report across all US areas of the SOX annual cycle including but not limited to risk assessment, processes and control documentation and test of design, operating effectiveness testing, deficiency tracking and assessment and supporting remediation.
Provide guidance to key stake holder and support Management’s SOX certification processes for US controls.
Build relationships with process and control owners in Treasury, Finance, Operations and Front Office areas and gain commercial understanding of the relevant businesses and their operational processes and controls that support financial reporting.
Plan and support execution of SOX control design and operating effectiveness testing to provide assurance of controls on behalf of Management across business areas.
Document and maintain the SOX control framework, including process narratives, risk-control matrices (RCMs), and control owner assignments.
Support the completion of design and operating effectiveness testing through direct oversight and hands-on activities including walkthroughs, testing and review of testing completed by SOX team members.
Evaluation and assessment of control deficiencies against financial reporting risks.
Assist with monthly and quarterly reporting of SOX compliance as applicable.
Support the annual SOX risk assessment, including scoping of significant accounts, processes, and entities (materiality, financial statement line items, IT general controls).
Ensure controls are designed, documented, and implemented effectively to address identified financial reporting risks, agreeing with business and control owners to identify strategic data sources and optimize efficiency by system/process.
Maintaining the internal controls assigned in compliance with SOX requirements, including concepts such as information used in controls, end-user computing and Management Review Controls.
Provide Executive level management Information to ensure appropriate focus and prioritization of remediation are in place for reporting and compliance under SOX.
Coordinate and perform where necessary annual SOX related reviews and analysis 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.
Serve as one of the primary points of contact for external auditors on SOX-related matters; manage the relationship, timeline, and issue resolution.
Support on-going reporting of SOX related status, key risks, and remediation progress to senior management, and other governance bodies.
Partner with business and finance process owners to educate and embed control ownership and accountability throughout the organization.