SOX Risk Lead in New York, NY at APEX Systems

Date Posted: 9/14/2018

Job Snapshot

  • Employee Type:
  • Location:
    New York, NY
  • Job Type:
  • Experience:
    Up to 10 year(s)
  • Date Posted:

Job Description

Job #:  879382

Apex Systems, the nation’s 2nd largest Information Technology Staffing organization, has an opening for ­­­­­­­­­­­­­­­­SOX Risk Lead to work within a large Financial Client in the New York, NY area. These opportunities are 10 month contract with possibility of extension.

Please send your resume to Michaela Locklear at if you're interested in learning more about these roles.

Job Responsibilities:

  • Partner with key Technology Managers to monitor and manage various risk programs across the firm
  • Proactively manage risk metrics - focus on at risk or exceeding threshold risks - work with technology management to address root causes and remediate as required
  • Support technology teams in supporting firm-wide risk programs (e.g. delivering requested artifacts, verify completeness / accuracy)
  • Partner with technology teams in the execution of Risk Control Self Assessments (RCSA)
  • Identify root causes of reported risks and partner to design remediation plans
  • Coordination with Technology Management in monitoring the execution, collection and completion of SOX control activities Partner with Technology Management and internal audit to identify and report self-identified audit issues
  • Provide support to Technology Management on all phases of audit activities and ensure active engagement with technology management to meet audit objectives. In addition, assist management in the validation of preliminary audit issues and the creation of remediation plans
  • Partner with Technology Management in the execution of quality assurance programs - ensure completeness of data and identify and monitor required remediation activities
  • As necessary, acts as a liaison for the department, maintaining effective and professional relationships with key business stakeholders, internal and external auditors, regulators, and others dealt with in a professional capacity

Essential: CISA, CRISC

Nice to have: CISSP


  • Excellent written and verbal communication skills including Senior management or executive level presentation material development experience
  • Excellent inter-personal, negotiation and influencing skills
  • Strong problem solving and analytical skills
  • Excellent MS-Office skills (including PowerPoint (for presentations) and Excel ( for manipulating large amounts of data)
  • Excellent organizational skills, coupled with ability to be versatile and flexible


  • 7-10 years Technology Audit or Technology Risk experience
  • Experience in the execution of Technology Risk Assessments, Audits and SOX 404 and 302 testing
  • Solid understanding of a risk control framework (i.e., inherent risks, control procedures, residual risk, etc.)
  • Ability to identify relevant key risk indicators to measure risk exposures (metrics reporting)
  • Ability to work collaboratively by building consensus and influencing decision making to foster forward progress with projects and initiatives.
  • Strong ability to analyze data to identify thematic issues / areas requiring improvement
  • Persistency, poise and perseverance to get things accomplished under pressure and within the set timelines
  • Interest and track record of ensuring accuracy, clarity and quality of work with attention to detail
  • Deputize for senior managers in various governance forums and committees in both technology and business at a FICC level
  • Understanding and knowledge of NFRR and transaction reporting compliance including industry regulations
  • Understanding of Global records management principles and their implications to the business
  • Detailed knowledge of SDLC and application governance
  • Ability to identify and validate operational losses and the parties impacted and responsible
  • Detailed understanding of Information security and the programs and disciplines that are encompassed in that.
  • Understanding of business continuity and recovery practices and ability to partner and challenge where needed
  • Gravitas to be able to challenge and debate in senior forums on risks and issues identified

Please send your resume to Michaela Locklear at if you're interested in learning more about these roles.









EEO Employer

Apex is an Equal Employment Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, sexual orientation, gender identity, national origin, disability, protected veteran status, or any other characteristic protected by law. Apex will consider qualified applicants with criminal histories in a manner consistent with the requirements of applicable law. If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation in using our website for a search or application, please contact our Employee Services Department at 844-463-6178