The Role
Our client's Group Finance Risk team is seeking an experienced SOX Control Tester to support a critical period of SOX assurance and controls testing activity.
Joining a team of dedicated testers you will play a key role in delivering assurance over financial reporting controls during a peak testing period.
This is a hands-on delivery role for an experienced SOX professional who can quickly integrate into an established testing environment and independently manage a portfolio of controls with minimal oversight.
Testing methodologies, controls, and test plans are already documented within the organisation's SOX management systems, allowing successful candidates to focus on execution, issue identification and stakeholder engagement from day one.
The role offers exposure to a broad range of business areas across the organisation and provides the opportunity to work on controls supporting the financial reporting and accounts process within one of the UK's largest financial services organisations.
Key Responsibilities
- Deliver high-quality SOX testing in accordance with established methodologies, standards and documentation requirements.
- Conduct Design Effectiveness (DE) and Operating Effectiveness (OE) testing across financial reporting controls.
- Execute end-to-end testing activities including planning, walkthroughs, sample selection, evidence gathering, assessment and conclusion reporting.
- Manage a portfolio of controls independently, maintaining delivery against demanding testing timelines and quality expectations.
- Review and evaluate control evidence, identifying exceptions, deficiencies, inconsistencies and potential risks.
- Assess whether controls are appropriately designed and operating effectively to mitigate identified financial reporting risks.
- Clearly document testing performed, conclusions reached and supporting rationale.
- Challenge stakeholders constructively where evidence is insufficient or control weaknesses are identified.
- Escalate issues and exceptions appropriately, supporting the investigation and resolution of findings.
- Collaborate with control owners, finance teams and business stakeholders across multiple divisions and functions.
- Contribute to testing progress reporting and provide clear updates on risks, dependencies and emerging issues.
- Support continuous improvement initiatives through the use of data, technology and emerging AI-enabled assurance techniques.
Essential Experience
- Proven experience delivering hands-on SOX testing within large corporate, banking, insurance or other highly regulated environments.
- Strong understanding of risk and control frameworks, financial reporting risks and Internal Controls over Financial Reporting (ICFR).
- Demonstrable experience conducting both Design Effectiveness (DE) and Operating Effectiveness (OE) testing.
- Ability to independently manage a significant testing workload and deliver at pace.
- Experience testing multiple controls simultaneously, often managing high volumes of testing activity within tight deadlines.
- Strong evidence assessment skills, with the ability to identify control deficiencies and challenge stakeholders appropriately.
- Excellent understanding of testing methodologies, sampling approaches and assurance documentation standards.
- Strong written and verbal communication skills.
- Ability to operate with minimal supervision and become productive quickly within an established testing framework.
- Familiarity with SOX management platforms such as FCM, SOX Express or similar controls management systems.