IT Compliance Specialist
5 days ago
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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