SOX 404 Compliance Officer,AVP #183349

Your field of responsibility

The position is an important role within our global SOX 404 compliance program. The role will be focused on managing relationships with partners within the global SOX 404 program and across the organization, with a focus on the AMER region.

Main Duties/Responsibilities of the Role

The open position, based in Pune, is a key role within the regional SOX 404 Compliance BPC Program. You will function as a ‘Regional SOX Deputy Manager’ (corporate title = Assistant Vice President) focused on the regional AMER program. 

• Functioning as a key team member to assist with the management of the regional SOX 404 of work across all phases of the SOX cycle and working with resources in Raleigh and Pune. This includes assistance with tracking, monitoring and reporting regional issues and regional status. This also includes supporting SOX control owners and SOX local supporters throughout the annual SOX lifecycle.
• Build and manage key relationships across functions and seniority levels.
• Perform SOX issue assessments on matters arising from a variety of channels (e.g. SAB 99 items, reported operational incidents, internal audit reports, etc.).
• Assess and document the severity of identified SOX control deficiencies.
• Support the line as it relates to the application of the SOX 404 policy and guidance.
• Assist with the preparation of supporting data for use in various management & committee reporting (e.g. Global SOX 404 Steering Committee, Group Audit Committee, etc.) along with scoping & mapping of key regional SOX controls.
• Resolve regional SOX quality matters noted within quality assurance metrics and reports.
• Perform user acceptance testing on changes to the SOX documentation application.
• Perform various SOX relevant Projects and ad-hoc requirements.
• Liaise closely with counterparts who work in a regional or global capacity within the SOX program.

Your future colleagues 

The AMER regional team is part of Group SOX 404 Compliance Program Management and Group Business Process Controls (BPC), led by a Director based in Zurich, which has the mandate to manage compliance with SOX 404 rules for Credit Suisse Group AG (CSG) and Credit Suisse AG (CS). The program is global with regional teams based in Raleigh, London, Zurich, Pune and Singapore.

The SOX 404 Compliance BPC Program is part of Group Finance (GF) Operational Risk & Control (ORC), led by a Managing Director based in Zurich. GF ORC identifies, manages and measures the operational risks within CFO functions through key CSG level programs such as Global SOX 404, General Ledger Account Ownership (GLAO) and Regulatory Reporting Programs. GF ORC is also responsible for carrying out planned and ad-hoc Quality Assurance Reviews (QARs) across GF and certain support departments.

The department values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values.

Your skills and experience

Required Work Experience/Background: 

• Degree in accounting and/or finance. is essential
• ZPA or Chartered Accountant and understand US GAAP.
• 6 – 8 years of SOX relevant experience – achieved either at the Big 4 (on multinational integrated audit engagements, which are PCAOB compliant) or at a multinational bank (within SOX 404 compliance, Group Finance, Internal Audit, etc.).
• Understand SOX methodology – both theoretical and practical.
• Proven experience in financial services and understand how a multinational bank operates.
• Understand the US GAAP accounting standards, processes and typical key SOX controls relating to operations, finance and product control along with the external audit cycle
• Experience working on a distributed team and interacting with colleagues both locally and overseas.
• You are positive relationship focused and able to build and manage relationships across the organization.
• Articulate and effectively communicate with partners at a different of seniority levels.
• Result oriented, dedicated, hardworking who can work on own initiative and can deliver on time under pressure with a high level of integrity and flexibility, sense of urgency, attention to detail and quality standards
• Dedication to fostering an inclusive culture and value diverse perspectives

Your new employer

Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training.

We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients.

Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. We are committed to building a culture of inclusion with a deep sense of belonging for all of us. We will consider flexible working opportunities where possible. Our bank provides reasonable accommodations to qualified individuals with disabilities, as well as those with other needs or beliefs as may be protected under applicable local law. If you require assistance during the recruitment process, please let your recruiter know.

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