Marex Spectron

SOX Governance & Compliance Manager (VN3083)

Marex Spectron • $200K — $235K *
Chicago, IL 60629In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5-7 years of experience in SOX compliance or related fields.
  • CPA or similar financial control certification preferred.
  • Deep knowledge of SOX Section 302/404 and PCAOB standards.
  • Experience with internal/external audits in relation to SOX compliance.
  • Background in financial services, especially with broker-dealers, asset managers or banking.
  • Proficient with Microsoft Excel, PowerPoint, and Visio, and ideally familiar with AI technology.
  • Strong verbal and written communication skills, with an analytical mindset.

Responsibilities

  • Collaborate with SOX leadership to implement the SOX annual cycle activities across US areas.
  • Guide stakeholders through Management's SOX certification processes for US controls.
  • Establish relationships with control owners to understand business operations essential for financial reporting.
  • Plan and execute SOX control design and effectiveness testing.
  • Document and maintain SOX control frameworks, including key narratives and matrices.
  • Oversee and support SOX testing activities, ensuring thorough evaluation and reporting of compliance.
  • Serve as primary contact for external auditors regarding SOX-related engagements.

Benefits

  • Comprehensive health benefits package.
  • Opportunities for professional development and training.
  • Flexible working arrangements to support work-life balance.
  • Engagement in strategic projects reflective of industry best practices.
Full Job Description
Role Summary

The SOX Governance & Compliance Manager will be responsible for managing the Sarbanes-Oxley (SOX) control process for Marex activities in the Americas. These duties will include updating and maintaining process flow maps, testing of control design and operational effectiveness, and other SOX related processes.

Responsibilities

Program Leadership & Strategy
  • Collaborate with the SOX leadership team to plan, execute and report across all US areas of the SOX annual cycle including but not limited to risk assessment, processes and control documentation and test of design, operating effectiveness testing, deficiency tracking and assessment and supporting remediation.
  • Provide guidance to key stake holder and support Management's SOX certification processes for US controls.
  • Build relationships with process and control owners in Treasury, Finance, Operations and Front Office areas and gain commercial understanding of the relevant businesses and their operational processes and controls that support financial reporting.

Control Evaluation & Testing
  • Plan and support execution of SOX control design and operating effectiveness testing to provide assurance of controls on behalf of Management across business areas.
  • Document and maintain the SOX control framework, including process narratives, risk-control matrices (RCMs), and control owner assignments.
  • Support the completion of design and operating effectiveness testing through direct oversight and hands-on activities including walkthroughs, testing and review of testing completed by SOX team members.
  • Evaluation and assessment of control deficiencies against financial reporting risks.
  • Assist with monthly and quarterly reporting of SOX compliance as applicable.
  • Support the annual SOX risk assessment, including scoping of significant accounts, processes, and entities (materiality, financial statement line items, IT general controls).
  • Ensure controls are designed, documented, and implemented effectively to address identified financial reporting risks, agreeing with business and control owners to identify strategic data sources and optimize efficiency by system/process.
  • Maintaining the internal controls assigned in compliance with SOX requirements, including concepts such as information used in controls, end-user computing and Management Review Controls.
  • Provide Executive level management Information to ensure appropriate focus and prioritization of remediation are in place for reporting and compliance under SOX.
  • Coordinate and perform where necessary annual SOX related reviews and analysis including by not limited to: IT Application Control testing, SOC 1&2 reports for in-scope applications, and other activities that require coordination with the Marex technology team.

Stakeholder & External Audit Management
  • Serve as one of the primary points of contact for external auditors on SOX-related matters; manage the relationship, timeline, and issue resolution.
  • Support on-going reporting of SOX related status, key risks, and remediation progress to senior management, and other governance bodies.
  • Partner with business and finance process owners to educate and embed control ownership and accountability throughout the organization.

Competencies, Skills and Experience
  • CPA, and/or financial controls certifications preferred
  • Knowledge of SOX Section 302/404 requirements, and PCAOB auditing standards
  • Experience with Internal or external audit preferable as it pertains to SOX compliance
  • Experience in financial services activity including broker-dealers, asset managers or banking
  • Proficient in Microsoft Excel, Power Point and Visio
  • Experience with the use of AI technology to improve efficiency
  • Analytical and accounting skills
  • Excellent verbal and written communication skills
  • Demonstrate curiosity
  • Resilient in a challenging, fast-pacing environment.
  • Takes a high level of responsibility.
  • Excels at building relationships, networking, and influencing others.
  • Strategic collaborator with insight and agility, able to anticipate future challenges, ensuring operational effectiveness.

Salary Range: $200,000 to $235,000 per year and eligible for discretionary bonus

About Marex Spectron

Marex Spectron is a leading global commodities broker that provides a range of services to clients in the energy, metals, agriculture, and financial markets. The company offers a wide range of trading and hedging solutions, as well as market intelligence and research. Marex Spectron has a global presence, with offices in Europe, Asia, and North America. The company was formed in 2011 through the merger of Marex Financial and Spectron Group, and is headquartered in London, UK.
Learn more about Marex Spectron
Size
700 employees
Industry
Finance & Insurance
Founded
2005
* Ladders Estimates

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