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Manager II - SOX/SOC Testing Team

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Accounting/Finance/Tax/Audit
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74209 Requisition #
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The Manager II will be responsible for the SOX/SOC Internal Control Testing team. The team performs the SOX/SOC internal control testing, which includes managing all of the testing pertaining to the bank’s internal controls over financial reporting and/or specific operational controls. This position is responsible for ensuring the quality and timely execution of testing which will be relied upon by management and the external auditor for decision-making and attestations.  The candidate will need to be familiar with the differences between the role of the external auditor and the role of internal auditor in executing management testing, and be able to provide direct reports technical expertise and training.   This candidate is both a coach and a team player, and will need to demonstrate superior organizational skills as there is a high volume body of work.
 
The work will need to be executed within established department policies, procedures, standards and protocols.

 

MAJOR DUTIES

 

• Oversees all aspects of the annual SOX compliance testing program activities
• Manages, coaches and develops team members locally and offshore
• Present KPIs and indicators of annual SOX compliance health to be reported to the Controls Committee, Disclosure Committee, and Audit Committee
• Oversees SOX/SOC body of work through direct reports and monitors execution
• Provides technical expertise to staff and is able to manage, measure, and monitor status of work and deliverables in accordance with agreed upon timeframes
• Reviews, evaluates and approves SOX/SOC workpaper documentation, including results of walk-throughs, test of design and operating effectiveness, validation results, and rationale and conclusions, in accordance with departmental procedures, standards and protocols
• Ensures internal audit reports are reviewed for any SOX/SOC implications
• Actively communicates with SOX/SOC team within Finance and external auditor and understands the SOX/SOC project from end-to-end perspective
• Concisely reports and prepares metrics/reporting for the status of SOX/SOC testing
• Stays current on regulatory rules and changes within the industry, with specific attention on SOX/SOC, and communicating changes/developments to the department
• Participates in meetings with business unit to discuss testing results
• Conducts the performance management process for direct reports.  Oversees the performance management process and ensures that reporting Managers are identifying training and development needs for their respective teams
• Communicates with partners at all levels, developing and presenting recommendations on operations and controls for the business unit

 

 


EXPERIENCE

 

• Ten plus years of experience working in public accounting or corporate with an emphasis on financial services industry
• Experience managing global and/or virtual teams is a plus
• Bachelor’s degree, Accounting or Finance preferred

 

KNOWLEDGE/SKILLS

 

• Knowledge of SOX regulation with an emphasis on 404 testing requirements, auditing in the financial services industry, and basic accounting principles
• Knowledge of System and Organization Controls (SOC) auditing standards with an emphasis on Statement on Standards for Attestation Engagements 18 (SSAE 18)
• Professional certification (e.g., CPA, CIA) and/or an MBA along with demonstrated technical abilities in select areas (e.g., accounting, regulatory compliance, etc.) is required.
• Strong analytical, leadership, and organizational skills are needed
• Strong project management, report writing and workpaper documentation skills
• Functional management of a global team in a matrixed environment

 

For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.


We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.


As of September 30, 2018, Northern Trust Corporation had:

$10.8 trillion in assets under custody/administration
$8.2 trillion in assets under custody
$1.2 trillion in assets under management
$132 billion in banking assets

 

 

 

 


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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

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    • APAC EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

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