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Senior Analyst, Risk and SOX Compliance

  • Job
    Mid-level (3-4 years) - Senior (5-8 years)
  • Accounting & Tax
  • Toronto
  • Quick Apply

AI generated summary

  • You need strong knowledge of SOX requirements, experience in internal controls assessment, ITGC's understanding, project management skills, and the ability to work in a team environment. Travel between Canada and the US is required. Self-motivated, proactive, and strong analytical skills are a must.
  • You will coordinate with teams and service providers, conduct SOX testing, evaluate deficiencies, update control documentation, and support optimization of business processes for Brookfield Asset Management.


  • Strong knowledge of SOX requirements and experience assessing the design and operating effectiveness of internal controls; Big 4 experience is an asset
  • Experience managing business process testing with a good understanding of ITGC’s and application controls
  • Strong verbal and written communication and presentation skills
  • Strong influencing skills: ability to present points of view effectively and gain support for their position
  • Experience working with growing organizations with changing needs and multiple complex business transactions
  • Experience working with insurance organizations is considered an asset
  • Able to work and travel between Canada and US (~15-20% travel)
  • Bachelor’s degree (or equivalent), Accounting and Auditing designations (CPA, CA, CIA or equivalent), with at least 3-5 years of experience in accounting, integrated auditing, internal controls and/or financial processes and reporting
  • Demonstrated and proven project management or coordination skills
  • Strategic thinker with strong analytical skills and problem-solving ability
  • Self-motivated and proactive, with respect to both managing workload and professional development
  • Demonstrated and proven ability to work effectively in a team environment and maintain positive interpersonal relationships.
  • Knowledge of data-based auditing techniques (including use of CAATs and sampling methods)
  • Knowledge of US GAAP, International Financial Reporting Standards (“IFRS”), SOX regulatory requirements is an asset


  • Coordinate with and support our in-house team, various portfolio company teams and service providers
  • Perform management testing for SOX engagements based in North America and prepare working papers in accordance with SOX and audit standards and internal audit procedures
  • Planning and executing controls testing for assessing the design and operating effectiveness of internal controls, including coordinating work with the internal controls team, internal stakeholders, external auditors and other third parties
  • Support and collaborate with stakeholders across various operating businesses to ensure the SOX program is being executed in accordance with the company’s plan
  • Evaluate severity of deficiencies, identify root causes, and develop clear, concise, practical recommendations and ensure timely remediation
  • Review and update internal controls documentation as needed (risk-control matrices, narratives, flowcharts, and testing plans)
  • Assist with monitoring and supporting the optimization of critical business processes and procedures
  • Provide advice and recommendations as necessary to strengthen and optimize internal controls
  • Support new acquisitions through identifying gaps, implementing control frameworks and assessing the design and operating effectiveness of internal controls


What is the primary responsibility of the Senior Analyst, Risk and SOX Compliance?

The primary responsibility of the Senior Analyst, Risk and SOX Compliance is to support the successful implementation of internal controls over financial reporting frameworks and execute the ICFR testing plan to ensure compliance with Sarbanes-Oxley requirements.

Who does the Senior Analyst, Risk and SOX Compliance report to?

The Senior Analyst, Risk and SOX Compliance reports to the Director, SOX Compliance.

What other responsibilities does the Senior Analyst, Risk and SOX Compliance have besides SOX compliance?

In addition to SOX compliance, the Senior Analyst also supports various other risk management activities including insurance and works closely with functional business teams across the organization.

What skills are required for the Senior Analyst, Risk and SOX Compliance role?

Skills required for this role include knowledge of SOX requirements, experience with internal controls over financial reporting, proficiency in data analytics, ability to evaluate findings and provide recommendations, and strong communication and collaboration skills.


Mission & Purpose

Brookfield is invested in long-life, high-quality assets and businesses around the world that form the backbone of the global economy. With over $925 billion in assets under management, and over 100 years’ experience as an owner and operator, we put our own capital to work in virtually every transaction, aligning interests with our partners and investors, and bringing the strengths of our operational expertise, global reach and large-scale capital to bear in everything we do. To learn more about our global businesses spanning renewable power and transition, infrastructure, real estate, private equity and credit, please visit www.brookfield.com. Phishing and Fraudulent Websites Warning Please be aware of the misuse of the Brookfield name and brand by individuals and groups fraudulently publishing fake websites and engaging in “phishing” scams that seek personal or confidential information from potential job candidates. This includes the posting of fake Brookfield job offers on LinkedIn and other career sites. You can find more details on what to look out for and how to report potentially fraudulent activity at https://www.brookfield.com/web-fraud-and-phishing-warning.