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BNY Mellon
,
Manchester, Greater Manchester
Senior Specialist, SOX Compliance & Controls
Overview
Job Description
POSITION SUMMARY: Ensures internal controls over regulatory reporting (ICRR) are sound and effective to ensure compliance with a SOX-like framework. Assigned regulatory areas are typically moderately complex. Incumbents demonstrate a breadth of knowledge of compliance and control and a thorough understanding of regulatory reporting. Recognized throughout the organization as the ICRR point of contact for a regulatory report or area. PRIMARY RESPONSIBILITIES: * Contributes in the execution of the ICRR assessment program in providing thorough and reliable identification of in-scope reports and locations, planning, testing, documentation, and reporting of the effectiveness of regulatory reporting for delivery to the senior management and external committees. Contributes to the establishment of SOX-like compliance for the regulatory reports and functional areas and is responsible for ensuring the implementation of that assessment. Leverages SOX-like compliance techniques to achieve business objectives. Undertakes substantive testing on specific disclosures within report forms making recommendations on improving quality and process * Contributes to the development and sustention of Control & Compliance initiatives to evolve controls framework, risk management approaches and operational efficiency. * Co-leads the execution and delivery of controls & compliance initiatives to evolve controls framework, risk management approaches and operational efficiency. * Provides guidance on the integration of internal controls into regulatory processes and systems to senior level management. * Begins to build strategic relationships to influence at all levels of the organization. Liaises with other business units to assess control elements associated with new or potential projects. Collaborates with other stakeholders to develop and implement consensual decisions * Supervises, motivates and guides more junior control & compliance roles. No direct reports; provides technical advice/guidance to less experienced Control & Compliance roles as needed. Bachelor's Degree or the equivalent combination of education and experience is required. 7-10 years of experience in information risk preferred. Experience in public accounting, SOX testing, regulatory services or shared services is preferred. Certified Public Accountant (CPA) or Chartered Accountant (CA) certification is preferred.