Senior SOX Manager
Overview:
We are seeking a senior SOX Manager to support all matters in relation to PPI. The ideal candidate will need to cover all business units across the bank from secured lending, transactional services and retail. This is a 6 months control with the potential to extend further.
Job Duties:
•Responsible for managing the daily SOX activities at the Team level by ensuring all documents and files produced are to the highest of standards
•Supporting and advising PPI Operations on SOX matters affecting the PPI complaints handling process, and the SOX risk and controls framework.
•Engaging with numerous stakeholders including process owners, control owners, the PPI FC/FD, Operational Risk teams, Governance teams, external auditors and central SOX teams.
•Day to day responsibility for SOX scoping activities, maintenance of SOX process documentation, and quarterly control/process owner attestations.
•Testing the Design Effectiveness of the PPI Control Activities (CA) processes and the Operating Effectiveness of CA controls.
•Testing General Computer Controls (GCC’s) for PPI Redress Calculators.
•Day to day support to other team members, providing input on controls testing approach, and performing quality review of work performed by colleagues.
•Management of SOX relevant issues - identifying SOX issues, performing impact assessment and monitoring and tracking of issue remediation.
•Chairing the fortnightly remediation committee and ensuring senior stakeholder packs are accurately updated to reflect the current state of all SOX issues and remedial activity
•Supporting the Head of SOX on areas of change within the PPI process as well as providing support on ad hoc business critical projects
•Acting as a deputy to the Head of SOX when and if required
•The role will be based in London however will require occasional travel to other sites across the UK.
•The Role will report into the Head of PPI SOX – PPI Governance Team and will be part of the PPI Customer Transformation Programme.
Design Effectiveness Testing of SOX control framework
Operational Effectiveness Testing of controls
Management and remediation of any open issues
Management of risks, controls and issues on the OPUS SOX system
Review of general controls and governance
Engaging with multiple key stakeholders and chairing regular meetings to review control activities
General Computer Controls for PPI Redress Calculators
Experience of managing projects or multiple deliverables
Experience of managing a Team. The ideal candidate will need to demonstrate that they are able to provide support to Team members as well as ensure that they are developing the skill set and knowledge of all Team members.
Skills:
Essential
•A strong SOX specific background (NOT RCA’s – Risk Control Assessments)
•Experience of both business and IT processes
•Ability to approach tasks in a project based manner
•Ability to engage with multiple stakeholders at various levels of seniority
•Ability to negotiate the timely delivery of requirements with stakeholders in a professional manner
•Ability to effectively juggle multiple tasks and competing priorities
•A strong understanding of risk and controls within end to end processes
•Experience of managing a Team
•Background of working on dynamic and constantly changing processes/environment
Desirable
•A understanding of end to end PPI complaints handling processes
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