Senior Lead, Technology Risk & Controls - SOX / SOC Programs

Senior Lead, Technology Risk & Controls - SOX / SOC Programs 

Summary: 

You will join Northern Trust’s Technology Risk and Control team as a leader responsible for overseeing the Technology SOX and SOC (SOC 1 / SOC 2) control programs across a global technology environment. This role partners closely with Technology leadership, Control Officers, Compliance, Internal Audit, External Audit, and Second Line of Defense (2LOD) partners to ensure the design, implementation, monitoring, and continuous improvement of technology controls supporting regulatory, financial reporting, and client assurance requirements. 

As a trusted advisor to senior technology executives, you will provide subject matter expertise on IT General Controls (ITGCs), technology risk management, control maturity, audit readiness, and remediation strategies. You will drive enterprise-wide control excellence, lead interactions with external auditors, oversee complex remediation initiatives, and influence risk-informed decision-making across the global technology organization. 

You will be part of a dedicated and high-performing team committed to strengthening control awareness, operational resilience, and risk governance throughout Northern Trust’s technology environments. 

Responsibilities: 

• Represent the Technology organization as liaison for the global SOX and SOC report issuance, ensuring effective governance, control execution, audit readiness, and regulatory compliance. 

• Serve as the subject matter expert for Information Technology General Controls (ITGCs), including Access Management, Privileged Access Management, Change Management, System Development Lifecycle (SDLC), Information Produced by the Entity (IPE), Technology Operations, Automated Controls, and Cloud and Infrastructure Controls. 

• Lead and perform technology risk and control assessments across critical applications, infrastructure platforms, cybersecurity processes, cloud environments, and technology-enabled business services. 

• Drive control design reviews, control effectiveness assessments, maturity evaluations, and control optimization initiatives to improve the overall technology control environment. 

• Partner with technology executives, application owners, and control owners to identify, assess, and remediate control deficiencies, audit findings, and regulatory issues through sustainable corrective action plans. 

• Advise on complex remediation programs, including root cause analysis, corrective action planning, issue governance, and validation of remediation effectiveness. 

• Serve as the primary liaison for External Audit, Internal Audit, Compliance, and Risk Management functions by coordinating audit activities, leading walkthroughs, challenging audit observations when appropriate, and ensuring timely delivery of evidence and management responses. 

• Monitor and advise on SOX and SOC scoping activities, application onboarding, impact assessments, control changes, and implementation of new regulatory or audit requirements. 

• Support Control Officers in executive reporting, issue tracking and resolution, key risk indicator reporting, and risk appetite monitoring. 

• Review and challenge risk assessments, control documentation, management assertions, testing results, and deliverables prepared by team members and third-party partners. 

• Influence behaviors to reduce risk and foster a strong technology risk management culture throughout the enterprise. 

• Identify opportunities to enhance control monitoring, analytics, automation, and continuous assurance capabilities. 

Your Knowledge and Skills: 

• Deep expertise in SOX, SOC 1, and SOC 2 compliance programs within complex technology environments. 

• Significant experience executing risk assessments, control effectiveness assessments, inherent risk evaluations, and residual risk assessments. 

• Significant experience evaluating and testing controls across technology domains including Identity and Access Management, Cloud Governance, Change Management, Software Development Lifecycle, Cybersecurity Operations, Vendor Risk Management, Technology Governance, Infrastructure and Platform Services, Information Security, and IT Asset Management. 

• Excellent executive presentation skills, including preparation and delivery of materials for senior leadership, governance committees, and regulatory audiences. 

• Excellent written and verbal communication skills with the ability to influence and challenge senior stakeholders. 

• Significant experience developing and implementing Technology Risk and Control Frameworks, Risk and Control Matrices, and control monitoring programs. 

• Extensive experience managing relationships with External Auditors, Internal Audit, Compliance, and 2LOD Risk Management functions. 

• Proven ability to lead large-scale remediation initiatives, including root cause analysis, corrective action planning, and sustainable control implementation. 

• Strong understanding of industry frameworks and standards including COSO, COBIT, NIST, SOX, SOC 1, and SOC 2. 

• Experience leveraging governance, risk, and compliance (GRC) platforms and workflow tools such as Archer, ServiceNow, AuditBoard, Power BI, or equivalent technologies. 

Knowledge:

Recognized subject matter expert in Technology Risk Management, IT Controls, Audit, and Regulatory Compliance. Possesses extensive knowledge of technology control frameworks, financial reporting controls, information security principles, and risk management practices. 

Demonstrates exceptional leadership, consultative, analytical, and communication capabilities with a proven ability to influence senior executives, technology leadership, auditors, regulators, and business stakeholders. Exercises independent judgment and leads highly visible, complex initiatives with enterprise-wide impact. 

Experience: 

• Bachelor’s degree in Computer Science, Information Systems, Cybersecurity, Accounting, Finance, or a related discipline. 

• Minimum 10 years of progressive experience in Technology Risk Management, IT Audit, Information Security Risk Management, SOX / SOC Compliance, Technology Controls, or related fields. 

• Minimum 5 years of experience leading enterprise-wide SOX, SOC, IT Controls, or Technology Risk programs within highly regulated organizations, preferably in financial services. 

• Demonstrated experience influencing senior technology executives and driving risk-based decision-making across large organizations. 

• Significant experience serving as the primary liaison with external auditors, including KPMG, PwC, EY, Deloitte, or equivalent, and leading audit readiness and remediation activities. 

• Proven track record leading complex, cross-functional remediation programs involving senior stakeholders and executive visibility. 

• Experience managing global teams, consultants, and third-party service providers. 

Certifications: 

• Relevant industry recognized certification preferred, such as: Certified Information Systems Auditor (CISA); Certified Information Systems Security Professional (CISSP); Certified in Risk and Information Systems Control (CRISC); Certified Internal Auditor (CIA); Certified Public Accountant (CPA)