Vice President, SOX Control & Compliance

About the role

The SOX / ICFR Lead is responsible for owning workstreams within the SOX and ICFR programme and ensuring high-quality execution of risk assessments, walkthroughs, testing, documentation, issue management, and stakeholder coordination. The role acts as a key partner to control owners and auditors, supports programme delivery across assigned areas, and provides day-to-day guidance to junior team members while driving timely and accurate execution.

Responsibilities

• Own the end-to-end delivery of assigned SOX and ICFR workstreams, including planning, walkthroughs, testing, issue tracking, and reporting against agreed milestones.
• Perform and coordinate risk assessments to identify significant processes, key controls, and changes in systems, products, or business activities that may impact financial reporting risk.
• Lead the refresh of narratives, risk and control matrices, flowcharts, and control inventories, ensuring documentation remains current, complete, and audit ready.
• Evaluate the design and operating effectiveness of key SOX manual controls, including review of evidence, exception analysis, and documentation of conclusions.
• Cook up with control owners and business partners to schedule walkthroughs, obtain evidence, resolve questions, and support timely completion of testing activities.
• Identify control gaps or weaknesses, assess potential impact, and support remediation planning and validation of corrective actions.
• Serve as a primary liaison for internal and external auditors for assigned reviews, ensuring clear communication and high-quality support through the audit lifecycle.
• Prepare concise updates on progress, issues, risks, and remediation status for management and support escalation where required.
• Coach and support Senior Associates and other junior team members on testing methodology, documentation standards, and stakeholder engagement.

Requirements

• Bachelor’s degree in Accounting, Finance, Business, Risk Management, or a related field.
• Professional qualification such as CA, CPA, ACCA, ACA, CIA, CISA, or equivalent preferred.
• Experience in banking products, financial close, regulatory reporting, or enterprise controls frameworks such as COSO.
• Exposure to process improvement, automation opportunities, or control rationalization initiatives.

Qualifications

• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to manage multiple projects simultaneously.
• Proficiency in Microsoft Office Suite.

Skills

• Knowledge of SOX, ICFR, and financial controls.
• Experience with risk assessment and control testing methodologies.
• Strong attention to detail and accuracy.
• Ability to work independently and as part of a team.

Benefits

Details of benefits will be provided if an employee receives an offer of employment. These may include:

• Competitive compensation package, including base salary and annual discretionary incentive awards.
• Flexible global resources and tools for your life’s journey.
• Health, dental, vision, and basic life insurance plans.
• Paid volunteer time.
• Generous paid leave, including vacation and sick time.
• Other benefits based on the position offered.

Pay

Base salary offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience.

Schedule

The role is located in New York.