GQG Partners is an investment boutique which is a wholly owned subsidiary of a majority employee-owned company listed on the Australian Securities Exchange (ASX: GQG). The firm manages global and emerging market equities for institutions, advisors, and individuals worldwide. The company is headquartered in Ft. Lauderdale FL, with offices in New York, Seattle, London, Sydney, and Abu Dhabi. GQG Partners manages more than US $143 billion in client assets as of March 31, 2024 and employs approximately 195 associates worldwide.
GQG is passionate about investing and strives for the highest levels of excellence in a competitive industry. It is our responsibility to help investors secure their financial future and we are honored that our clients entrust us with their financial capital. We endeavor to create a business that is closely aligned with our clients' financial interests. And we strive for success at all levels of our organization through a commitment to independent thinking, continual growth, cultural integrity, and a deep knowledge of the markets.
ABOUT THE POSITION
This is a unique opportunity to join a fast-growing boutique asset manager and build, from the ground up, an Internal Control over Financial Reporting (ICFR) framework under Section 404 of the Sarbanes-Oxley Act of 2002 (SOX). The SOX Program Director is responsible for coordinating GQG's efforts to identify all significant financial reporting controls and verify that testing is performed to evaluate the operating effectiveness of the controls in connection with Sections 404 and 302 of the Sarbanes-Oxley Act of 2002 (SOX).
KEY RESPONSIBILITIES
Develop the SOX 404 Framework, including the establishment of an appropriate internal controls governance structure, timeline and implementation plan.
Execute an SOX governance and oversight program that monitors, evaluates, and reports on the effectiveness of internal control over financial reporting.
Conduct a financial statement risk assessment and scoping validation to determine the Company's overall needs to meet regulatory requirements and identify information gaps within the current organizational structure. Work with external advisors to assess the effort required to become SOX compliant considering "in-scope" processes and IT systems.
Review the identified risks and implement preventive and detective controls that mitigate those risks.
Maintain an inventory of key controls in a Risk and Control Matrix (RCM), which includes the mapping of controls to the relevant financial statement line items, control type (manual vs. IT), and frequency of the control (daily, weekly, etc.).
Collaborate with business leaders and auditors in the assessment of ICFR control deficiencies.
Track the status of corrective actions to provide for timely resolution and reporting to the appropriate management and board committees, including the Disclosure Committee and the Audit Committee.
Assess the readiness of the control environment over new business initiatives.
Collaborate with business units on current and emerging SOX-significant processes.
Engage with business partners as the SOX Risk SME during the planning and execution of business initiatives.
Provide guidance and training to finance staff on SOX control processes and best practices.
QUALIFICATIONS
Bachelor's degree in accounting or finance; CPA or equivalent a plus.
Minimum of 8-10 years of combined experience in a national public accounting firm and SOX/Risk compliance; experience in the initial design and implementation of a SOX 404 program is highly desired.
Prior experience in asset management, financial services, or insurance firms is preferred.
Understanding of US GAAP, COSO principles, SOX 404 and 302 requirements and PCAOB standards.
Ability to interpret and explain complex information to a range of audiences and build consensus among different stakeholders.
Excellent relationship management skills and ability to influence outside of direct team, collaborate with different stakeholders, and drive and implement changes.
Strong verbal and written communication skills including executive presentation skills.
Strong analytical skills and the ability to exercise judgment and solve complex problems.
Strong understanding of PCAOB and SEC SOX requirements.
Demonstrated leadership skills and ability to collaborate across multiple business areas.
Understanding of IT controls relevant to ICFR and SOC evaluation/reliance protocols.
Develop and maintain strong relationships with key stakeholders, including senior management and auditors.
GQG Partners LLC is an Equal Opportunity Employer and will not engage in unlawful discrimination on any basis prohibited by local, state or federal law. This policy applies to all aspects of employment, including recruitment, placement, promotion, transfer, demotion, compensation, benefits, social and recreational activities and termination.
GQG Partners LLC is an Equal Opportunity Employer and will not engage in unlawful discrimination on any basis prohibited by local, state or federal law. This policy applies to all aspects of employment, including recruitment, placement, promotion, transfer, demotion, compensation, benefits, social and recreational activities and termination.
For more information about equal employment opportunity, please click here for "EEO Is the Law." GQG Partners LLC may participate in E-Verify, please view the following links for details in English and Spanish. For information regarding your Right to Work, click here for details in English and Spanish.
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