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Manager, Compliance & Controls - 11/19/09 |
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Manager, Compliance & Controls - 11/19/09 |
| Company Name: |
CME Group
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| Job Title: |
Manager, Compliance & Controls
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| Job Type: |
Finance / Accounting
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| Job Reference Code: |
6517
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| Company Website: |
Visit This Company's Website and Learn More About This Job
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| Job Location: |
Chicago, IL
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| Job Description |
Position Description:
A. Scope Evaluation
I. Assess risks and their relevant financial statement impact for each business process
II. Assess materiality to determine the business processes and technology areas that are to be included within SOX Documentation & Design Assessment
III. Maintain internal control documentation resulting from changes identified through current audit and compliance processes
IV. Document and maintain the scoped control environment that includes flowcharts, narratives and/or similar vehicles that describe or illustrate the functional control elements
V. Communicate and maintain Scope Account Mapping for business processes
VI. Identify business application controls existent within in scope business processes
VII. Communicate and present results to process owners at quarterly process owner meetings
B. Compliance Testing
I. Assess the design effectiveness of all in-scope scoped areas through performance of walkthroughs
II. Implement and execute SOX testing that meets the requirements of CME Group Management and Ernst & Young.
III. Develop, coordinate and manage testing deadlines and milestones and communicate issues in a timely manner
IV. Present results of testing to stakeholders
V. Perform Entity-Level Controls testing
C. Gap Identification & Tracking
I. Identify and document control deficiencies in accordance with CMEG deficiency management guidelines
II. Present results to stakeholders involved in process in a concise and effective manner
III. Negotiate deficiency solutions, monitor implementation and perform remediation testing
IV. Update progress in Trintech (compliance software tool)
D. Certification / Risk Assessment
I. Execute and support the 302 certification through quarterly certification process
II. Conduct quarterly meetings with process owners and document results
III. Execute quarterly risk assessment and analysis of results
IV. Monitor process certification and perform follow up based on meeting
E. Reporting & Technology
I. Develop, maintain and train users on Trintech solutions
II. Develop, maintain and train users of compliance reporting through InfoSource
III. Contribute in Trintech upgrades and solution deliverables
IV. Understand and develop data modeling techniques
V. Propose new metrics and maintain leadership in the compliance industry
VI. Actively participate in compilation, preparation and presentation of quarterly ICFR report
F. Other
I. Present quarterly results to process owners, Audit Committee, CEO and CFO
II. Provide training and support to control owners, process owners and staff
III. Develop and maintain relationship with key stakeholders including external and internal auditors |
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| Job Requirements |
Required:
* BA/BS Accounting, Business Administration, Finance or related field
* Certified Public Accountant
* Combination of accounting and audit experience with no less than 5 years experience in total
* Comprehensive understanding of financial, operational & computer controls within the COSO and COBIT frameworks
* Strong project management / teamwork skills
* Strong training and presentation skills
* Proficient in developing and articulating process documentation (narratives/flowcharts)
* Proficient with MS office products
*
ﾷ Ability to master technical aspects such as SQL, MS Access, Excel, Powerpoint and Report Development without traditional technical support
ﾷ
Preferred:
* MBA, CIA, CISA
Job Attributes:
The Accounting Compliance Team is responsible for the delivery of a range of certification and assurance services to support Sarbanes-Oxley Compliance. The team is composed of four professionals located in the Chicago office. This role will interface with individuals at all levels of the company and provide exposure to Non-SOX opportunities.
As the worlds largest and most diverse derivatives marketplace, CME Group (www.cmegroup.com) is where the world comes to manage risk. Based in Chicago, with offices in New York, Hong Kong, Houston, London, Singapore, Sydney, Tokyo and Washington D.C., our team of more than 2,200 employees has an impact on the global economy every day. We offer:
ﾷ The widest range of global benchmark futures and options available across all major asset classes;
ﾷ The most advanced trading technology;
ﾷ Industry-leading clearing capabilities;
ﾷ A relentless customer focus, serving leading investment and commercial banks, hedge funds, proprietary trading firms, pension funds, sovereign wealth funds, asset managers, corporations and individual traders; and,
ﾷ A great place to work.
With this strong foundation in place, and building on the history of CME, CBOT, NYMEX and COMEX, we are looking to continue growing our business in both listed and over-the-counter markets. We hope you will consider joining our world-class team. |
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| Job Status: |
perm
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