Risk and Controls Lead

About the role

Our client is a global financial services institution that provides a broad range of banking, investment, asset servicing, wealth management, treasury, and market infrastructure solutions to clients around the world. We can facilitate W2 and corp-to-corp consultants.

Responsibilities

• Own end-to-end delivery of assigned SOX and ICFR reviews, including planning, walkthroughs, testing, issue tracking, and reporting against program milestones.
• Perform and coordinate risk assessments to identify significant processes, key controls, and changes impacting financial reporting risk.
• Evaluate the design and operating effectiveness of key SOX manual controls through evidence review, exception analysis, and clear documentation of conclusions.
• Lead refreshes of narratives, risk and control matrices, flowcharts, and control inventories to keep documentation current, complete, and audit ready.
• Coordinate with control owners, Finance, Technology, and business partners to schedule walkthroughs, obtain evidence, resolve questions, and complete testing on time.
• Identify control gaps or weaknesses, assess potential impact, support remediation planning, and validate corrective actions.
• Serve as a liaison for internal and external auditors, providing support and clear communication throughout the audit lifecycle.
• Prepare concise updates on progress, risks, issues, and remediation status, escalating matters where appropriate.
• Provide day-to-day guidance to junior team members on testing methodology, documentation standards, and stakeholder engagement.

Requirements

• 2+ years in SOX testing, internal audit, external audit, finance controls, controllership, or risk and controls roles.
• Strong understanding of SOX, ICFR, internal controls, and financial reporting processes in a regulated environment.
• Proven experience conducting controls testing, leading walkthroughs, documenting processes, evaluating exceptions, and producing high-quality working papers.
• Auditing background with the ability to execute testing independently once shown the process.
• Ability to manage multiple workstreams and deadlines with strong analytical, organizational