The Role

Futures & Options/ ETD, FX & Equity Operations SOX Reporting & Project Analyst (Operations role)

Martis Search are representing a City of London based, but global Trading institution to hire a permanent Futures & Options/ ETD, FX & Equity Operations SOX Reporting & Project Analyst.

This exciting role based on a Trading Floor (sitting next to multiple ETD, FX and Equity Sales and Traders) and works within an Operations team.

The company are a global trading company and therefore come under global regulations such as “Sarbane’s Oxley.” This means the company have to adhere to “Sarbane’s Oxley” (SOX) Financial Reporting rules.

This Operations role is split into two main areas, 1) BAU “SOX Compliance” and 2) Project management assistance – to assist in various project management tasks in the Operations department including reporting and governance.

This means our client is looking for someone with 1-2 years “SOX Compliance” experience, or worked within a Financial Services Compliance, or Operations type “Project Management” role and who is looking for exposure to multi-asset classes and working in a global trading and growing Trading organisation. Your experience must be gained from a reputable Brokerage, Investment Bank, or Asset Management company.

The company are innovative, technology driven and very successfully having doubled their YoY profits every year since their inception. They are one of the fastest growing, cutting edge and successful Investment Banks to work for in London. They use cutting edge proprietary trading systems and technology to global Institutional clients ranging from Hedge Funds, Asset Managers, Investment Banks.

There are genuinely lots of career opportunities and fast-track to promotion if you prove yourself and work hard. The team is also sociable and the company itself has a lot of regular social activities/ business activities to make thew job both fun and to build strong relationships with co-workers.

The company offer a hybrid mix of “working-from-home” and also in-the-office, so you get the best of both worlds.

Requirements

This is a hybrid role focusing on two areas of the Operations team:

1. SOX Compliance to oversee and manage all of our Sarbanes-Oxley (SOX) compliance in Operations. This role is critical in ensuring the teams adhere to the necessary internal controls and financial reporting requirements mandated under SOX, while also driving improvements in internal control processes. You will work closely with the operations heads to manage the end-to-end SOX compliance process, ensuring that controls are designed, implemented, and operating effectively. This includes independent control testing and maintenance of the process flow documentation.
2. Project management assistance – to assist in various project management tasks in the Operations department including reporting and governance

This is an excellent opportunity for someone with a strong background in internal controls, financial reporting, and project processes who is looking to take on a role in a dynamic and growing environment.

Overall Responsibilities

• SOX Compliance Oversight:
• Manage the SOX compliance processes, ensuring adherence to all relevant internal control requirements as per the Sarbanes-Oxley Act (Section 404) for financial reporting and internal controls.
• Develop and execute the annual SOX compliance plan, ensuring timely execution of assessments and reporting.
• Internal Controls Management:
• Oversee the maintenance, design, implementation, and testing of internal controls
• Identify and evaluate control gaps, propose solutions, and work with cross-functional teams to remediate issues.
• Risk Assessment and Process Improvements:
• Assisting in the risk assessment process to identify financial and operational risks, ensuring appropriate controls are in place to mitigate these risks.
• Drive continuous improvement in internal control processes, working closely with business units to streamline operations without compromising control effectiveness.
• Coordination with External Auditors:
• Serve as the operations primary point of contact with external auditors on SOX-related matters. Coordinate that all documentation, testing, and remediation efforts are completed on time and meet audit requirements.
• Assist in the preparation for annual audits, providing supporting documentation and addressing auditor queries.
• Project management assistance:

Work closely with all areas of the operations team in a variety of projects from acquisitions to system upgrades.

• Creation of project plans and governance documentation
• Providing management status updates and hosting status meetings
• Escalating risks and resolving issues as they arise
• Liaising with IT, legal, risk, finance and operational teams to ensure that tasks are aligned with business objectives
• Collaborate with the operation senior leaders to drive the strategic goals and processes
• Ensuring compliance with the company’s change control team requirements
• To escalate risk events immediately

Salary

£50,000 k pa – £60,000 k pa, dependent upon experience, plus good bonus, pension, healthcare etc.