SOX Governance & Compliance Associate (VN3084)

SOX Governance & Compliance Associate

The SOX Governance & Compliance Associate will be responsible for support 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.

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:
• 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

Competencies, Skills and Experience

• CPA, and/or financial controls certifications preferred
• 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

Salary Range: $125,000 to $140,000 per year and eligible for discretionary bonus

Company Values

Be collaborative - by working together across the organization, we foster teamwork, can better respond to challenges and successfully deliver for our clients

Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders

Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.

Be respectful how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.

Nurture talent we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support for us, and our teams.