Sr. Analyst – Global Financial Controls (SOX & SOC)

About Northern Trust

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

Role Summary:

Responsible for leading or supporting the operation, documentation, and enhancement of technically sound SOX, SOC, and/or CCAR program governance methodologies, internal controls testing, policies and procedures. Understand sensitivity of compliance information and appropriately control/limit messages and content shared.

Member of a Global Financial Control team, which provides governance, oversight, and/or internal control testing of the Sarbanes-Oxley Act (SOX) program for Northern Trust Corporation in periodic filings of financial information with the Securities Exchange Commission (SEC), Service Organization Control Reports (SOC) program for Northern Trust business areas, and/or Comprehensive Capital Analysis & Review (CCAR) program for Northern Trust Corporation.

This role is balanced between high level operational execution and development and execution of strategic direction of business function activities.

Major Duties:

Planning & Risk Assessment

• Evaluate process‑level and financial reporting risks to identify key risks, control objectives, controls, and potential sources of misstatement.
• Develop and maintain an understanding of business operations, systems, and control environments for assigned SOX and SOC processes.

Governance & Process Oversight

• Maintain effective working relationships with control/process/IT owners and provide ongoing SOX and SOC guidance and training.
• Support annual/quarterly SOX and SOC governance planning activities, including coordination of walkthrough schedules, timelines, and tracking of key governance and testing milestones in accordance with departmental standards and audit requirements.
• Maintain SOX and SOC governance documentation, including risk and control matrices and process narratives, ensuring alignment with approved methodologies and internal standards.

Walkthroughs & Process Understanding

• Execute walkthroughs to document end‑to‑end processes, key risks, control activities, and supporting systems.
• Validate risk‑to‑control alignment and confirm control ownership, execution, and consistency with documentation.
• Monitor and assess control environment changes, including changes in processes, systems, or ownership, and evaluate impacts to SOX and SOC scope and testing approaches.

Test of Design & Operating Effectiveness (TOD/TOE)

• Perform and document tests of design and operating effectiveness in accordance with established sampling and testing standards.
• Evaluate audit evidence for completeness, accuracy, and relevance to support control conclusions.
• Escalate evidence requests and follow‑ups with control owners in a timely manner
• Identify, assess, and timely communicate control design and operating effectiveness deficiencies to control and process owners.

Results Evaluation & Reporting

• Assess testing results and determine control effectiveness conclusions using established SOX and SOC methodologies.
• Evaluate severity and root cause of control issues, considering both design and operating effectiveness factors.
• Ensure testing conclusions are clearly documented and supported by sufficient evidence to enable external audit reliance.
• Communicate testing results, control deficiencies, and key observations to control/process/IT owners and governance leads in a timely and professional manner.
• Support remediation tracking and validation activities by documenting issue resolution status and retesting results in accordance with departmental standards.

Control Environment Changes

• Communicate and document changes to the control environment, including process changes, system changes, control modifications, and ownership changes, in coordination with business units and process owners.
• Support ad hoc projects and initiatives as requested by Global Financial Controls management

Knowledge / Skills

• Strong oral and written communication skills, with the ability to clearly articulate risks, controls, and testing results to diverse stakeholders.
• Ability to operate effectively in a fast‑paced, dynamic environment as part of a Global Financial Controls team supporting multiple time zones and jurisdictions.
• Strong technical aptitude and systems knowledge preferred, with the ability to understand and assess process and system‑driven controls.
• Highly adaptable and flexible, with the ability to respond effectively to changing priorities, regulatory requirements, and control environments.

Qualifications

• Bachelor's degree required; Accounting or Finance preferred.
• Experience within the Financial Services industry preferred.
• Prior Public Accounting experience strongly preferred.
• Five to eight or more years of experience in SOX, SOC, internal controls, audit, or financial services–related roles.
• Professional certifications such as CPA, CIA, or CISA are a plus.

Working Hours:

Mon-Fri; 4pm-1am MNL

Working With Us

As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.

Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.

We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater

Reasonable accommodation

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at [Confidential Information].

We hope you're excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.

Apply today and talk to us about your flexible working requirements and together we can achieve greater.

About Our Manila Office

The Northern Trust Manila office celebrated a decade of excellence in 2024. Through agility, resiliency, innovation, and excellence, they have evolved into a dynamic hub with diverse capabilities and a thriving workforce of over 1,200 — driving meaningful impact and sustainable growth. Learn more.