AM/DM - IT SOX 404 - Insurance

AM / DM - IT SOX 404 in a Prudential UK

Location : Mumbai

Overall Job Purpose :

Candidate should be open for Extensive Travelling

Also candidate should have worked on Insurance client.

- Participate in the delivery of the annual testing of key IT processes and controls within the scope of Sarbanes-Oxley Section 404 (s404) testing programme with responsibility for testing in certain areas of business.

- This role is likely to involve considerable travel

Accountabilities/Responsibilities :

SOX Responsibilities :

- To support the annual s404 compliance activity with respect to IT processes and controls

- Agree the scope of the annual IT SOX 404 Internal Testing Programme with the SOX Controller

- Oversee and manage the execution of the annual IT SOX 404 Internal Testing Programme.

- Review test results and manage, to resolution, issues arising from the annual IT SOX 404 Internal Testing Programme.

- Liaise with the SOX Controller and other PRU business units and external auditors (KPMG) as necessary.

- To lead and participate in the preparation and execution of IT SOX testing fieldwork within business areas

- Manage the resolution of process/control issues, ensuring the accurate and timely identification of any issues which require escalation

- Lead and contribute to debriefs with key senior internal personnel in order to communicate and appraise the results of SOX testing, advising on the process for remediating any control failures

- To lead or participate in the annual IT SOX Documentation exercise, identifying process and control books which require updating and co-ordinating the process for their amendment with the relevant SOX Coordinators across the business

Key Interfaces (please detail purpose and level of contact) :

Internal External :

- SOX Controller & team

- SOX Testing Manager

- SOX 404 Internal Testing Team

- SOX Coordinators with specific responsibility for certain areas of the business

- Control Owners to co-ordinate the annual SOX Internal Testing Programme.

- Internal Audit coordination of testing.

- External auditor, as required, for co-ordination of testing.

- Third party suppliers, as required to undertake testing of related controls, expected to be limited.

Competence / Knowledge / Skills required

Knowledge & Skills : (KEY)

- Sarbanes-Oxley / IT audit experience

- Good communication skills (written & verbal) with all levels of the organisation.

- Self-starter and highly motivated.

- Strong interpersonal & influencing skills and an ability to work in a team environment.

- Enthusiastic and energised.

- Ability to work minimal supervision and deliver to tight deadlines.

- An advanced knowledge of Microsoft Office application skills.

- Report writing

Knowledge & Skills : (Desirable)

- Strong organisational and planning skills.

Education, Qualifications Necessary :

- CA / B.E. / B. Tech. / MBA or other professional IT-related qualification

- Additional Professional Certification such as CISA, DISA, etc. are beneficial

Experience :

- 3-5 years.

Behaviors :

- Should display PRU Behaviours

Shraddha Mehta