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  • Job reference: RMS0217136

SOX and Operational Risk Specialist

  • Sector: Oil & Gas
  • Location: Houston, Texas
  • Job type: Contract
  • Date posted: 25/09/2019
  • Duration: 6 months
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The Role:
This is a 6 month contract
Houston, TX

Primary Responsibilities

The SOX and Operational Risk Specialist's task is to assist responsible departments with maintenance of the operational risk program and the internal controls system of the company, including SOX reporting requirements and control testing. This generally includes assisting in the review of procedures, as well as providing recommendations for improved controls and enhanced business efficiency through incident reporting and control testing processes. The SOX and Operational Risk Specialist's role requires close collaboration with various departments, including Front Office, Credit and Risk, Back Office and Accounting, management, and external auditors.

Skill Profile

 Critical thinker and analytical problem solver, who enjoys learning about every aspect of a trading company's processes and identifying risks, process efficiencies, and improvements.
 A self-starter with strong organization and planning skills and a proven ability to meet deadlines (routine and project).
 Ability to effectively communicate using oral and written skills to all levels of the organization. Exhibit abilities to work effectively within teams with different viewpoints and priorities.
 Proficient in Microsoft Word and PowerPoint and advanced skill in Excel. Proficient in computer application skills.
 Development and delivery of business process and procedures, preferably within an Energy Trading context.
 Demonstrable willingness to learn (i) internal control system and SOX disciplines, including their application into the company's processes, and (ii) risk assessment processes and (iii) operating risk and KPI reporting.
 Good degree in a related discipline: Accounting, Finance, or related field preferred.
 CPA, CFE, CISA, CIA or other relevant designation is not essential but would be a plus.

Communication Areas

Interact with Front Office, Credit and Risk, Back Office and Accounting, management, and external auditors.

Detailed Responsibilities

 Corroborate with the team to identify and provide recommendations for improved controls and enhanced business efficiencies.
 Collaborate with cross-functional teams to implement process improvements.
 Assist responsible departments with reporting requirements, maintenance of policies and procedures and control testing.
 Assist in the review of policies and procedures.
 Provide monitoring, reporting, and review of the status of open incidents until they are fully remediated.
 Gather and monitor key performance indicators and compile monthly KPI dashboard for presentation to management.
 Apply concepts of risk assessment.
 Coordinate and ensure timely testing of key controls with appropriate personnel.
 Assist with all aspects of SOX testing (Financial, Entity-Level, IT and Company Level).
 Corroborate with the team in strengthening testing procedures used to assess internal controls.
 Assess the adequacy of management's plans for correcting audit findings and/or control deficiencies. Provide monitoring, reporting, and review of the status of identified issues until they are fully remediated.
 Develop and maintain effective business relationships with constituent staff and management. Build partnerships with business areas to ensure understanding of audit scope, procedures, compliance with control requirements and reporting processes.
 Assist in maintenance of the Operational Risk Program, including but not limited to New Product Approval and Non-Standard Deal Approval processes. Assist in monitoring and reporting on Operational Risk processes for presentation to management.
 Adhere to all organizational and professional ethical standards.
 Other tasks and duties as directed by the SOX and Operational Risk Manager.

About Fircroft:
Fircroft has been placing people in specialist technical industries for approaching half a century, focusing on mid to senior level engineers for contract and permanent roles worldwide. By applying for this job you give consent for Fircroft to contact you, via email & telephone, to discuss your application along with future positions and Fircroft's services.

Fircroft is registered as a Data Controller with the Information Commissioner as required under the General Data Protection Regulation 2016/679. Fircroft will only process your personal data for the specific purposes of managing your application.

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