Senior Specialist, SOX Control & Compliance
2 days ago
Middleton
Join Our Team as a Senior Specialist, SOX Control & Compliance!\n Are you ready to take your career to the next level? We’re on the lookout for a passionate and skilled Senior Specialist, SOX Control & Compliance to join our dynamic team. In this pivotal role, you will play a crucial part in ensuring the integrity of our financial controls and compliance processes. Role Purpose\n The SOX / ICFR Analyst is essential in executing our SOX and ICFR program. You will deliver reliable control documentation, support testing activities, track issues, and manage evidence. Your expertise will help us maintain a strong and sustainable financial controls environment across various processes and business areas. Key Responsibilities\n\n • Execute Testing: Carry out assigned SOX and ICFR testing activities according to approved methodologies, timelines, and quality standards.\n, • Documentation Refresh: Support the update of process narratives, risk and control matrices, flowcharts, and related documentation.\n, • Walkthrough Participation: Engage with business and control owners to understand processes, identify key control points, and accurately document changes.\n, • Control Testing: Assess the design and operating effectiveness of key controls by reviewing evidence and documenting results clearly.\n, • Evidence Management: Track evidence requests, follow up with stakeholders, and maintain organized records for audit readiness.\n, • Issue Identification: Spot exceptions, documentation gaps, or control concerns and escalate them promptly for further assessment.\n, • Remediation Tracking: Maintain action logs, follow up on milestones, and validate closure evidence as needed.\n, • Relationship Building: Foster strong working relationships with business partners, control owners, and team members to ensure smooth program delivery.\n, • Process Improvement: Contribute to special projects and explore opportunities to standardize or automate testing and documentation processes.\nCore Accountabilities\n\n, • Timely and accurate completion of assigned testing and documentation activities.\n, • Production of clear, complete, and well-organized working papers and supporting evidence files.\n, • Adherence to methodology, documentation standards, and review feedback.\n, • Effective communication of issues, delays, or exceptions to the reviewer or manager.\n, • Collaborative support to overall team delivery and a disciplined, sustainable controls environment.\nRequired Skills and Experience\n\n, • Strong understanding of internal controls, SOX/ICFR concepts, and financial reporting risk.\n, • Experience in controls testing, audit, finance, or compliance roles.\n, • Ability to document processes clearly and analyze evidence with attention to detail.\n, • Excellent organizational skills to manage multiple tasks and deadlines.\n, • Effective written and verbal communication skills, with confidence in stakeholder engagement.\n, • Good analytical and problem-solving skills to identify anomalies and control concerns.\n, • Proficiency in standard productivity tools and comfort with data analysis.\nPreferred Qualifications\n\n, • Bachelor’s degree in Accounting, Finance, Business, Commerce, Risk Management, or a related discipline.\n, • Experience in SOX testing, internal audit, or compliance within banking or financial services.\n, • Progress toward or completion of a professional qualification (CA, CPA, ACCA, CIA, or CISA) is a plus.\n, • Exposure to process mapping and enterprise control frameworks such as COSO is beneficial.\nLeadership Expectations\n\n, • Demonstrate ownership of assigned work and escalate issues professionally.\n, • Maintain a strong quality mindset and discipline in documentation standards.\n, • Collaborate effectively with colleagues and contribute positively to team goals.\n, • Show curiosity, learn quickly, and incorporate feedback for continuous improvement.\n, • Support a positive controls culture through reliability and professionalism.\nSuccess Measures\n\n, • Timely completion of assigned testing and documentation with minimal rework.\n, • High-quality workpapers and evidence packs that facilitate efficient reviews.\n, • Prompt identification and communication of exceptions or delays.\n, • Positive feedback from reviewers and stakeholders on quality and collaboration.\n, • Growing technical capability and ability to handle complex reviews independently.\nWhy Join Us?\n At BNY, we foster a culture that empowers our employees to grow and succeed. As a leading global financial services company, we influence nearly 20% of the world’s investible assets. Our teams leverage cutting-edge AI and breakthrough technologies to drive transformative solutions that redefine industries and uplift communities worldwide. \n Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we are powering the future of finance. This is what #LifeAtBNY is all about. Join us and be part of something extraordinary!