Tech Risk and Controls Lead- SOX Assessment

Tech Risk & Controls Lead

Join our team to play a pivotal role in mitigating tech risks and upholding operational excellence, driving innovation in risk management.

As a Tech Risk & Controls Lead in our Cybersecurity and Technology Controls Team, you will contribute to the successful management of technology-aligned aspects of Governance, Risk, and Compliance in line with the firm's standards. Leverage your broad knowledge in risk management principles and practices to assess and monitor risks and implement effective controls. Your role in risk identification, control evaluation, and security governance is crucial in advising on complex situations and enhancing the firm's risk posture. Through collaboration and analytical skills, you will contribute to the overall success of the Technology Risk & Services team and ensure compliance with regulatory obligations and industry standards.

Job Responsibilities

• Assess and monitor technology risks, ensuring compliance with firm standards, regulatory requirements, and industry best practices
• Lead all aspects of our SOX program relating to IT general and applications controls, including annual and ongoing risk assessments, facilitation of walkthroughs and overseeing the documentation and testing of applicable controls
• Support implementation of effective controls in collaboration with cross-functional teams and stakeholders
• Evaluate the effectiveness of existing controls, identify gaps, and recommend improvements to mitigate risks and enhance the firm's risk posture
• Analyze complex situations, provide advice on risk management strategies, and support the implementation of risk mitigation measures
• Collaborate directly with the External Auditors on the scoping and execution of all IT components of the SOX program, including the evolution of compliance requirements based on PCAOB or firm mandates
• Drive initiatives to improve the SOX program and promote efficiencies, improving governance and structure for audit processes and deliverables

Required Qualifications, Capabilities, and Skills

• 3+ years of experience or equivalent expertise in technology risk management, information security, or a related field, with a focus on risk identification, assessment, and mitigation
• Experience in risk identification, assessment, and control evaluation, with a strong understanding of industry standards
• Demonstrated ability to analyze complex issues, develop and implement risk mitigation strategies, and communicate effectively with senior stakeholders
• Proficient knowledge of risk management frameworks, regulations, and industry best practices
• Strong understanding of the Sarbanes-Oxley Act, the 2013 COSO framework, NIST, COBIT, SOC, DCAM, and SEC guidance for management's assessment of internal controls over financial reporting
• Demonstrated ability to apply IT-related knowledge and experience in solving compliance issues

Preferred Qualifications, Capabilities, and Skills

• CISM, CRISC, CISSP, or other industry-recognized risk and risk certifications preferred
• Experience with cloud products, i.e. Azure, AWS, Google cloud, etc.
• Well-developed communication and presentation skills indicative of an ability to effectively present to and influence senior management and communicate with all levels of management in a decentralized environment
• Ability to influence, interact and partner effectively with multi-functional and remote teams