Broadridge is growing! We are seeking a Senior Project Manager with SOC SME background to join our team on contract basis in a remote capacity. We are looking for someone who excels in a fast paced, Agile environment. This consultant will collaborate with the VP, Global Technology & Operations (GTO) Risk Management. The successful candidate will be tasked with managing and refining a comprehensive process to assess and identify financial and operational controls that are relevant to SOC1 financial reports for our Wealth Management business. Additional responsibility will include creating a comprehensive process to deliver a SOC2 for availability to support zero downtime requirements for critical Wealth Management systems (e.g., trading, order management, financial advisor desktop).
The successful candidate will provide thought leadership and continue to create, maintain existing and build out new SOC1 to support our Wealth Management clients. In addition, the ideal candidate will also be able to build a framework to support availability control objectives and control activities for SOC2.
This includes responsibilities outlined below:
- Coordinate review of products and technology assigned within Wealth Management (legacy and greenfield)
- Develop an action plan based on magnitude of changes for new or updates to existing SOC1 objectives
- Develop control objectives and activities to support zero downtime requirements for SOC2 availability
- Assemble documentation from process and technology owners for a Deloitte readiness assessment to support SOC1s and SOC2 for availability. This includes creating control objectives, control activities and complementary user entity controls (CUECs)
- Assist with developing narratives on key control processes for examination by Deloitte
- Coordinate meetings with process and technology owners
- Provide status and metrics on workstreams assigned for client and executive reporting
- Track all open items to closure
- Support Program VP in execution of overall program
- Shown experience with SOC1 financial controls and SOC2 availability trust principal
- Previous resiliency experience with high-availability systems in financial services (preferably cloud based)
- Previous audit or management consulting experience with trading, order management, financial advisor desktop as well as post-trade operations
- BS degree (or equivalent) from an accredited college (Finance, Accounting, Resilience Engineering)
- Strong verbal and written communication skills. This includes the ability to partner with product and technology professionals and project team.
- Strong facilitation and project management skills
- CISA, or CIA certifications (or equivalent) are highly desired.
- CCRP or MBCP