Team Leader, SOX, Global Financial Control

Manila, National Capital Region, Philippines
22 Feb 2021
10 Mar 2021
Contract type
Full time
Experience level

Founded in Chicago in 1889, Northern Trust is one of the world’s leading financial institutions. We specialise in providing asset servicing solutions and asset management to both institutional and personal clients. The delivery of products and services to this client base is supported through a network of offices in more than 40 countries around the globe.

We believe our most valuable asset is our engaged, empowered & diverse workforce. As a global institution, Northern Trust is committed to building upon this diverse talent through encouraging innovative thinking and personal courage in an inclusive environment. Northern Trust’s commitment to diversity & inclusion is evident in our internal initiatives for which we have won several globally recognised awards.


Responsible for leading or supporting the SOX/SOC internal controls testing as well as day-to-day management of a sub-team. Understand sensitivity of compliance information and appropriately control/limit messages and content shared. Member of a Global Financial Control team, which performs internal control testing of the Sarbanes-Oxley Act (SOX) program for Northern Trust Corporation in periodic filings of financial information with the Securities Exchange Commission (SEC) and Service Organization Control Reports (SOC) program for Northern Trust business areas. Conducts performance management and career development processes, and staffing and disciplinary actions. This role is balanced between high level operational execution and development and execution of strategic direction of business function activities.

Principal Duties:

  1. Perform reviews of various departments by understanding the key risks and controls within the function being reviewed. Develops and executes test steps, documents results clearly and evaluates results to assess the quality of the control and/or control environment
  2. Think critically and take independent initiative to research inherent risks, emerging guidance, and issues relevant to processes and controls, and propose solutions or enhancements as appropriate
  3. Identify and evaluate risk and likely sources of potential error for significant processes
  4. Design and administer trainings to stakeholders
  5. Demonstrate professional skepticism and comfort with questioning how certain processes are being performed in order to facilitate making improvements.
  6. Operate independently; has in-depth knowledge of the function
  7. As subject area expert, provide comprehensive, in-depth consulting and leadership to team and partners at a high technical level
  8. Carry out activities that are large in scope, cross-functional and technically difficult
  9. Responsible for direct interaction with different committees and/or management
  10. Strategic in developing, implementing and administering programs within functional areas
  11. Utilizes understanding of various Corporate units to ensure operations, services and systems have proper controls in place
  12. Applies analytical skills to review information and determine potential control weaknesses
  13. Develops a thorough understanding of the Northern Trust Methodology and adheres to all applicable Department Standards.
  14. Responsible for staying current on SOX/SOC/CCAR regulations and changes in the industry
  15. Direct the work of the sub-team, sets short-term priorities, monitors all activities and ensures timely and accurate completion of the work
  16. Prioritize assignments and provide feedback to staff
  17. Ensure direct reports are accountable for meeting/exceeding prescribed deadlines and/or managing appropriate expectations around the deadlines. Escalate on a timely basis when deadlines are at risk of being met.
  18. Works with Manager to create a development plan for direct reports and conduct performance and career development including staffing and disciplinary actions
  19. 70% - 30% distribution between own work load management and people management.


  • Excellent oral and written communication skills are required
  • Ability to work in a fast paced and a dynamic work environment as part of a Global Financial Control team working across multiple time zones and jurisdiction
  • Highly flexible and adaptable to change
  • Bachelor’s degree required, Accounting or Finance preferred
  • Experience in financial services preferred
  • Certified Public Accountant or Certified Internal Auditor a plus
  • Knowledgeable of Sarbanes-Oxley Act (SOX) program and Service Organization Control Reports (SOC)
  • Experience in performing audit of IT general and application controls
  • At least 7 years’ work experience for the similar role and at least 1 year of people management
  • Preferably from audit firm or part of a global financial control of a multi-national company
  • Amenable to take on 4pm to 1am shift

For further information, and to apply, please visit our website via the “Apply” button below.

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