Head of Internal Controls/SOX – Fintech

  • Location

    City of London

  • Specialism:

    Accountancy & Finance

  • Salary:

    £90,000 - £100,000 per year

  • Contact:

    Tom Wade

  • Contact email:


  • Contact phone:


  • Job ref:

    TW - HICSF

  • Published:

    26 days ago

  • Expiry date:


  • Published:


  • Consultant:


​Altum Consulting are pleased to be supporting a global FinTech organisation, who have achieved a record financial year and are approaching an IPO. Altum are aiding them in the search for a Head of Internal Controls and SOX Specialist to manage their Compliance program and have an integral role in the organisation's future roadmap. This is an exciting opportunity to guide a leading Tech organisation through an IPO process.

Reporting to the Director of Finance & Control, you will:

  • Manage the company's SOX compliance program and act as a central point of contact and subject matter expert to ensure appropriate internal controls (manual and system) over financial reporting are designed and implemented under the 2013 COSO Framework.

  • Responsible for on-going project management of the SOX program, including managing a team, to optimize engagement economics and quality deliverables for the SOX program.

  • Oversee the coordination efforts between external auditors and internal Business Process and Information Technology owners.

  • Drive the SOX scoping and risk assessment by collaborating with cross-functional teams to stay up to date on significant changes that may have an impact on the design and/or operating effectiveness of controls.

  • Identify, evaluate, and monitor the remediation of control deficiencies.

  • Deliver timely and concise communication, including developing and producing management reporting, illustrating SOX status, trends, and remediation of deficiencies.

  • Prepare executive management and Audit Committee materials highlighting overall SOX progress and results.

  • Educate Business Process and Information Technology control owners by leading training sessions and focus sessions to demonstrate compliance requirements and share hot topics in SOX compliance.

Key Skills

  • Experience setting up and leading first-line control functions in financial services, with a focus on payments and money transfers being an advantage

  • Strong working knowledge of balance sheet and income statement dynamics and ability to develop appropriate risk measurement techniques

  • SOX control experience and comprehension of end-to-end finance business processes

  • Experience of managing dialogues with both Senior Management and external auditors

  • Practical experience with financial risk model development, implementation, and governance