Director SOX

New York, NY



  • Maintain an effective and internal control framework and provide recommendations for process improvements and simplification
  • Identify areas of risk, promote recommendations on controls and processes
  • Experience with information technology control assessments and process reviews
  • Review testing results to ensure consistent high quality workpapers
  • Ongoing development and reporting of key metrics to management
  • Review and make recommendations on all risks and controls that are identified within a process
  • Work with business owners to determine appropriate risks, controls, and creating process maps (VISIO) and narratives for new products and processes coming onto the company’s SOX platform
  • Communicate any findings or deficiencies to the Process Owners and SOX Office in a timely manner
  • Assisting in the development of additional training and or process enhancements from findings or deficiencies
  • Engage with process owners, testers, internal and external auditors




  • Bachelor’s degree with 10+ years of relevant asset management operations / operational risk management experience
  • Solid working knowledge of various investment products including corporate bonds, ABS, bank debt term loans, private loans, Revolver/Delayed Draw loans, repos, whole loans, cash & synthetic structured credit, options, and swaps
  • Must have strong communication skills, organizational abilities, and attention to detail
  • Proficiency with Microsoft Office Applications
  • Prior management experience
  • Demonstrated experience with control implementations, operational risk management program, audit engagements
  • Project Management experience is a plus





Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 3/4/2020
Salary $150,000 - $160,000 + bonus

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