We are looking for Assistant Manager - SOX for one of our clients - which is a British multinational life insurance and financial services company.
To support the annual s404 compliance activity and the delivery of an accurate CFO and CEO s404 attestation
Agree the scope of the annual SOX 404 Internal Testing Programme with the SOX Controller
Participate in the execution of the annual SOX 404 Internal Testing Programme.
Review test results and manage, to resolution, issues arising from the annual SOX 404 Internal Testing Programme.
Provide an opinion to senior management on the adequacy of its controls over financial reporting for SOX 404 Compliance.
Support the process to ensure sign off of the CFO and CEO.
To lead and participate in the preparation and execution of SOX te sting fieldwork within business areas
Ensure succinct testing reports are provided for the processes outlined above, communicating the results in clear & concise manner, identifying the salient points and any issues which require further investigation
Manage the resolution of process/control issues, ensuring the accurate and timely identification of any issues which require escalation
Contribute to debriefs with key senior internal personnel in order to communicate and appraise the results of SOX testing, advising on the process for remediating any control failures
Well versed with Auditor Independence requirements set by SEC (US) and FRC (UK)
Job Description :
To ensure customer service and support all operations. To create customer delight at every interaction.
Interacting with external customers and internal customers and addressing their queries, requests and complaints.
Committed TATs are met consistently
Complaints Management- addressing customer complaints at the branch, system updation, coordination with Sales/HUB/ other functions for resolution.
Refunds processing and dispatch
Undelivered policy documents tracking and management.
Maintenance of all files and registers.
New Business Processing:-
Handling end to end New business processing starting from creation of Client id,Case start up, New business login, Follow up for policy issuance, Quality Check
Follow up with HUB for policy issuance of pending cases