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Senior Auditor - SOX/SOC1

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Accounting/Finance/Tax/Audit
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74241 Requisition #
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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 testwork  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

Experience

 

• Bachelor's degree, Accounting or Finance preferred

• Entry level auditing experience, within financial services preferred

 

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

 

 For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.


We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

 


As of September 30, 2018, Northern Trust Corporation had:

$10.8 trillion in assets under custody/administration
$8.2 trillion in assets under custody
$1.2 trillion in assets under management
$132 billion in banking assets

 

 

 

 


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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC EEO Statement
    • APAC EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement