Northern Trust - Senior Auditor - SOC/SOX

Summary :

The SOX/SOC Senior Auditor is responsible for conducting and documenting SOX404 and SOC1 controls throughout the Corporation. The SOX/SOC Senior Auditor provides technical expertise and training to auditors within the SOX 404/SOC1 audit team and works closely with Audit Team Leads and Audit Managers to confirm the scope of the activities assigned and to devise an appropriate testing approach to be performed during the engagement.

Major Duties :

- Conduct and document SOX 404/SOC1 testing and conclusions

- Functions in various roles on audit assignments, including leading audits, staffing audits, and providing oversight functions based on the needs of the team

- Applies analytical skills to review information, perform assessments of the audit results, and evaluate the adequacy of controls

- Leads a team of 1 or more staff in executing SOX 404/SOC1 related testwork

- Works closely with the Audit Team Leader to perform/develop the audit planning, scoping, and fieldwork execution strategy

- Works closely with the Audit Team Leader to develop the audit budget and/or timeframe for how the test work will be completed

- Reviews the work papers of the audit team members ensuring that departmental standards have been met

- Completes and compiles findings and recommendations for the purpose of status updates, memos, and communications with coordinators

- Coordinates with other audit teams (business unit, regional, and specialist) to ensure evaluations of related areas occur timely and cover key areas have been considered

- Provides training, coaching, and auditing expertise to the audit team

- Operates independently; has in-depth knowledge of business unit/function

- Carries out activities that are large in scope, cross-functions and technically difficulty

- Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities

Knowledge/Skills :

- Knowledge of SOX or SOC audit standards and testing protocol

- Knowledge of audit procedures and standards usually obtained through related work experience and a four year degree program is required

- Knowledge of corporate policies and procedures that relate to auditing/accounting standards and analytical skills are necessary to prepare audits

- Knowledge of the operations, functions, and objectives of interfacing areas is required to properly audit operations, services, systems, workflow, and operational impact on other areas

- Excellent oral and written communication skills are required

- Must be flexible and adaptive to change

Experience :

- A College or University degree and/or entry level auditing experience in a financial institution