Job Description

Global investment management firm is seeking a sharp Associate Director to join the Third Party Assurance team in either Los Angeles or New York. This role is vital in supporting the integrity and efficacy of the Service and Organization Control (SOC) reporting processes, in accordance with SSAE18/ISAE 3402 standards.

Responsibilities

• Conduct annual internal scoping assessments over SOC reporting scope, including leading internal walkthroughs, performing assertion mappings, carrying out periodic testing and preparing scoping documents for external auditors to facilitate a smooth audit process.
• Coordinate with internal testing teams and external auditors to ensure timely completion of audits and issuance of SOC reports, escalating issues and tracking items through remediation.
• Ensure the Risk and Control Inventory is consistently updated with the latest SOC information by monitoring changes in SOC controls, updating the RCI matrix accordingly, and communicating these updates to relevant stakeholders.
• Collaborate with internal teams including SOX, Internal Audit, IT, Finance and Enterprise Risk Management, to ensure comprehensive coverage of all relevant areas of SOC reports.
• Prepare and draft annual updated SOC reports for review by both internal management and external auditors.
• Ensure timely completion of quarterly control owner certifications, including preparing certification materials, monitoring completion and preparing reports to communicate certification results to management.
• Asses documented process and control incidents for SOC impact and collaborate with ERM to ensure remediation plans are appropriately designed to mitigate risks to SOC user entities.
• Collaborate with cross-functional teams across business and IT to ensure SOC impact of people, process and technology changes are sufficiently considered, advising on and overseeing identification and implementation of new control requirements.
• Prepare, enhance and facilitate annual control owner training.
• Oversee and support ongoing development of direct report(s); provide guidance and mentorship to junior members of the team

Qualifications and Experience:

• Bachelor’s degree in Accounting, Finance, Information Technology, or related field. Professional certifications (e.g., CPA, CISA, CIA) are preferred

• 5+ years of experience in SOC reporting, auditing, or a related field, with a strong preference for experience in the financial services, asset management, Big 4, insurance or investment sector.
• Knowledge of SOC reporting standards, internal controls, and IT governance.
• Demonstrated experience in leading and managing audit processes.
• Ability to thrive in a fast-paced and rigorous work environment; demonstrated ability to prioritize competing demands and meet deadlines.
• Exemplary interpersonal skills necessary to handle sensitive information and confidential situations.
• Strong analytical, problem-solving, and project management skills.
• Excellent communication and interpersonal skills, with the ability to present complex information clearly and confidently to various audiences.
• Proven ability to work collaboratively across various departments and with external partners.

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