POSTING DEADLINE

This position is posted until filled.

DEPARTMENT

Department: Audit Services

PREFERENCES

Experience working with AuditBoard

JOB DESCRIPTION

Manager SOX Compliance

Salary Grade: G04
Minimum Midpoint Maximum
$104,766 - $141,434 - $178,102

The following statements are intended to describe the general nature and level of work being performed.

They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills.

Given the financial nature of this position, this position has been defined as a position requiring a credit check. Prior to being hired, promoted, or transferred into the position, the candidate must successfully pass a credit background check.

SUMMARY:

The Internal Audit SOX Manager will develop a detailed understanding of the company¿s business processes, looking for both control gaps and opportunities to gain process efficiency. Leads all stages of the audit cycle, from developing the audit plan and facilitating the risk assessment process to planning, scoping, testing, documenting, and reporting on audit projects. Communicates and reports to senior management, Internal Audit management, and the Audit Committee, the audit results, recommendations, and actions plan for audit findings. Responsible for monitoring the implementation of audit recommendations and following up on the remediation status of action plans for identified issues. Assists in responding to external auditors¿ requests and/or inquires, and the development and training of audit staff by pursuing development opportunities, including internal and external training, and sharing information with audit staff. Will work closely with the Internal Audit Director and various levels of stakeholders to provide ongoing progress of internal audit operations.
ESSENTIAL DUTIES AND RESPONSIBILITIES:

Conducts control walkthroughs, overseeing tests of design and tests of operational effectiveness for key processes and controls

Leads the execution of activities to complete audit work papers and reports, ensuring minimal rework and timely project completion within budget

Prepares for audits by establishing objectives, developing timetables, and creating or adapting audit programs

Performs control testing and review control test results
Utilizes dashboards to track, monitor and deliver control test status details

Coordinates remediation of findings and deficiencies identified by SOX testers and external auditors, identify root causes, and advise control owners on internal control enhancements

Reviews controls to ensure adequate design and identification of key and non-key controls for critical processes/accounts, including rationalizing and optimizing controls through automation

Participates in the annual SOX risk assessment and scoping exercise
Serves as a liaison between management and the external auditors

Supports managements review of third-party assurance reports, such as SOC1 reports including user controls mapping for gap identification and deficiency impact evaluations

Monitors changes in the organization and processes to ensure the SOX controls are updated, and the changes are communicated in a timely manner

Coordinates related documentation updates

Provides guidance and training to management on SOX compliance and internal controls

Fosters a culture of continuous improvement and encourage innovation utilizing technology and data analytics tools to enhance audit effectiveness and efficiency
COMPETENCIES:

Experience and working knowledge in SOX documentation, testing and COSO / risk-based framework.

Strong attention to detail and ability to manage multiple assignments while meeting deadlines.

Ability to work under pressure in fast paced environment.

Strong emotional intelligence and ability to build trusted relationships with key stakeholders.

Motivated to work independently and complete responsibilities with little supervision yet work well and promote team-oriented culture.

High level of integrity, professionalism, strong sense of business judgment and professional skepticism, and openness to operate within the Company¿s published core values.

Well-developed communication skills to provide feedback upwards and downwards.

Experienced in process review and analysis of key business processes including ability to identify and evaluate controls.

Ability to work as a team member and meet all commitments on a timely basis

Ability to perform high-level and task-level audit/project planning and monitor progress against plans

Skills in process re-engineering and total quality management desired

Must have working knowledge and ability to apply of internal control requirements, operating workflows, US GAAP and accounting processes.

Knowledge and ability to apply Public Company Oversight Board (PCAOB) auditing standards.

Experience in designing business process controls and developing audit procedures.

Strong analytical skills and ability to provide audit solutions to enhance internal controls
.
Strong written communication skills to clearly articulate audit findings, recommendations, and action plans.

Working knowledge of Microsoft Office 365 applications.

QUALIFICATIONS

MINIMUM EDUCATION AND/OR EXPERIENCE:

Bachelor's degree in accounting, finance or business discipline from four-year college or university with five years related experience including two years of management experience, or equivalent combination of education and/or experience related to the discipline.
CERTIFICATES, LICENSES, AND REGISTRATIONS:

Certification in one of the following is required: Certified Public Accounting (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Certified Management Accountant (CMA), Certified Fraud Examiner (CFE), etc.,

Preferred:

Experience in leading and performing operational audits required.

A minimum of 5 years of Internal Audit, public accounting, and/or related industry experience with knowledge of accounting, finance, IT, and internal control areas.

Prior industry experience

Experience working with AuditBoard

Working knowledge of Power Bi and other data analytics technologies

Working knowledge of ACL

COMMUNICATION SKILLS:

Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations

Ability to write reports, business correspondence, and procedure manuals

Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public

Ability to communicate, including listening, with all levels of stakeholders, both external and internal, verbally or in written form.

ANALYSIS AND PROBLEM-SOLVING ABILITY:

Strong project management and organizational skills to effectively use available resources to complete projects on time.

Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists. Ability to interpret a variety of instructions furnished in written, oral, diagram, or schedule form.

PHYSICAL DEMANDS:

While performing the duties of this job, the employee is regularly required to sit for up to 2/3 of the time. The employee must occasionally lift and/or move up to 10 pounds.

WORK ENVIRONMENT:

Office environment.

Employees in Services Company may be responsible for providing services to various Holding Company subsidiaries and affiliates.