IT Compliance Specialist

5 days ago


New York, New York, United States SoHo Dragon Full time
Job Overview

SoHo Dragon, a leading investment bank, is seeking a highly skilled IT Compliance Specialist to join our team. As an IT SOX Analyst, you will play a critical role in ensuring the bank's compliance with the Sarbanes-Oxley Act (SOX) regulations.

Key Responsibilities:

  • Collaborate with technology teams, Internal Audit, and external auditors to define the scope of SOX IT testing and ensure timely delivery of testing evidence.
  • Develop and manage a comprehensive IT SOX testing schedule, ensuring that all key deliverables are met.
  • Work closely with technology teams to articulate IT control evidence requirements and ensure that the evidence provided is clear and meets the needs of the external auditor.
  • Maintain and update a Risk and Control Matrix (RCM) to identify potential risks and control gaps.
  • Assess and mitigate potential risks and control gaps based on an understanding of the control environment.
  • Support the testing and evaluation of the effectiveness of IT controls.
  • Collaborate with IT and business teams to remediate control deficiencies.
  • Prepare and present reports to management, highlighting key findings and recommendations.
  • Support meetings with Head Office (Tokyo) to ensure their understanding of the progress of the IT SOX testing program.

Requirements:

  • 10+ years of experience in IT risk and compliance
  • Deep understanding of IT risk and controls
  • Strong analytical and communication skills
  • Effective communicator with excellent presentation skills

Education:

Bachelor's degree in a relevant field required.



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