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Senior Internal Auditor - Sox


  • Central London
  • Permanent
  • £55,000 - £65,000 + Benefits + Bonus
  • ASAP
  • Accountancy qualification required

Our client, a high growth speciality insurance company is looking to recruit a Senior Internal Auditor to join its fast-paced international Internal Audit function. This highly successful company has experienced significant growth due to its innovative niche products and high degree of expertise and knowledge.

Reporting to the Internal Audit Manager for Sox the successful applicant will join the team planning and executing the SOX compliance effort across the business.

Primary duties and responsibilities are as follows:

  • Contribute to the development and execution of the annual Sox audit plan
  • Plan and execute Sox based audits in accordance with the audit plan, audit methodology and professional standards. Expectations will include:
  • Perform process walkthroughs to build a strong understanding of key processes and identify key risks and controls
    • Apply risk and control concepts to assess control design and developing a test approach of the key Sox controls
    • Draft and review audit work papers and reports for discussion with the Internal Audit Management Team, the Head of Internal Audit (HIA) and senior management that are supported by the work performed
    • Manage the Sox audit teams and provide guidance to staff in the execution of assigned audits, including monitoring the progress and quality against stated audit objectives, department metrics and audit requirements.
  • Maintain organisational and professional ethical standards and ensure audit activities are carried out or supervised in compliance with the applicable standards, including independence and objectivity
  • Maintain a strong ongoing relationship with management, regulators, and external auditors where applicable
  • Track and monitor management action plans and report status to the HIA
  • Develop clear and concise written deliverables, including audit reports
  • Develop and execute computer-assisted audit techniques for testing controls
  • Manage audit work and support work using an audit management system (e.g. GRC or equivalent)

This person will not only need to be technically strong but also demonstrate a dynamic, agile nature and strong interpersonal skills. In addition to having the ability to plan and execute audits/testing independently, the candidate will already have experience of SOX compliance and be responsible for completing testing on allocated in-scope processes with support from an in-house team and the co-source partner (a Big 4 Accountancy Firm).

This individual will also have the opportunity to participate in some elements of the non-SOX internal audit plan. It is anticipated that the role will include 15%-25% UK and European Travel.

In addition, the successful applicant will already have:

  • ACA, ACCA, PIIA, CMIIA, CPA or equivalent audit qualification, or be at the final year of studies
  • Bachelor's degree or equivalent in accounting, finance or other relevant discipline
  • Minimum 5-7 years audit experience, preferably in the general insurance and/or Lloyd’s environment
  • Excellent understanding of internal audit methodologies, risk and control frameworks inc Solvency II awareness.

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