Principal Operations Risk Manager (SOX Lead)-New York

Principal Operations Risk Manager (SOX Lead)

Primary Focus of the position is over the Technology Process/risks and controls

Responsibilities:

• Assist in development of process flows for SOX processes
• Review of quarterly control assessment evidence for completeness and accuracy
• Work with business owners to document new business processes or changes to existing processes including process narratives and identification and documentation of key controls
• Work with control owners and internal audit to ensure testability of edits to existing controls or documentation of new key controls
• Update control documentation in controls database based on comments received from control owners, Internal and External Auditors
• Work with control owners to address deficiencies or exceptions identified by internal or external auditors
• Update GRC tool, BWise, as necessary for edits to control elements and issues
• Act as liaison with external auditors for SOX concerns including facilitation of meetings; including annual walkthroughs, with control owners as well as the discussion of possible remediation activities for identified deficiencies
• Help to maintain internal program metrics related to the US processes including the status of design, operational testing progress and status of issue/remediation action plans
• Participate in the weekly status meetings with internal SOX stakeholders and with external auditors
• Provide guidance and training on use of internal sox control database application (BWise)

Desired qualifications / Experience:

• Bachelors' Degree
• Previous SOX experience or other comparable risk and control design or assessment experience with a preference for previous experience in the areas IT General Controls (Change Management, Access and Infrastructure)
• Past experience within financial services is preferred
• Excellent interpersonal / communication skills
• Ability to act proactively and work effectively across business units, functions and regional locations
• Action and results oriented with the ability to overcome obstacles