Executive Job Title	Associate / Vice President-SARBOX
Type of Registrant	Recruiter
Location	Northeast USA
Industry & Function 1:	Financial-Brokerage/Mut.Fund/Securities/MoneyMgmt - FINANCE--CFO/Control/Acctg./Treas./Tax,etc.
Compensation	$100,000 to $200,000
Executive Job Description	Major financial institution (Confidential) Our client, a leading global investment bank, securities and investment management firm with locations through out the world is seeking either an Associate level or Vice President to join there their Sarbanes-Oxley team. This Team facilitates the firm’s quarterly self-assessment and certification processes globally. The primary mission of the Team is to prepare an auditable evaluation of the firm’s internal control infrastructure, processes and policies to support senior management’s certification as required under Section 404 of the Sarbanes-Oxley Act. Key responsibilities of the Section 404 Team include the following: • Facilitate management’s assessment of the design and operational effectiveness of internal controls over financial reporting. • Coordinate the identification and documentation of risks and key controls in all significant product lines and regions. • Review and risk rank issues raised through the self assessment process in conjunction with the appropriate subject matter experts and Controllers. • Monitor firm-wide control remediation initiatives. • Risk and controls analysis of significant internal and external operational risk incidents, as requested by the Chief Accounting Officer. • Assist in the coordination of the external audit. • Contribute to acquisition due diligence and integration project management. Principle Responsibilities: • A member of the global S404 team responsible for coordinating with assessors and certifiers regarding completion of quarterly assessments. • Coordinating and leading issue review meetings for new issues arising from the quarterly assessment process. • Preparation of quarterly certification materials for various Divisions Certifications and Firm wide Review Committee • Participating in ongoing convergence efforts with other firm risk and control disciplines (e.g., Internal Audit, Operational Risk, etc.) • Work with key project managers throughout the Front Office and Federations areas to identify changes to risks/controls and ensure organizational changes are accurately reflected for quarterly sign-offs. • Training new assessors and certifiers. • Overall project management of the quarterly assessment and certification process which involves a high level of communication and coordination with individuals across the firm. Experience/Skills (Associate/Vice President): • Associate/Vice President candidates typically possess 5+ years of experience in a Sarbanes-Oxley role or a related financial services industry role • Strong knowledge of investment banking / brokerage business activities and or relevant work experience in a business area or control function, including strong knowledge of risks and controls and Risk Control Self Assessments • Experience with financial reporting, regulatory reporting, Bank Holding Company and FDICIA requirements. • Highly motivated and possess strong analytical and intellectual abilities. • Strong verbal and written communication skills. • Strong leadership and interpersonal skills. • Demonstrates ability to establish strong working relationships with clients and management. • Ability to manage multiple assignments and work collaboratively in a team environment, including coaching and developing junior staff.
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