SOX Compliance Manager

Job Title

SOX Compliance Manager

Job Description

Job Function
Responsible for the management of the organization’s compliance with the Sarbanes Oxley Act. Develops processes to ensure compliance with all SOX requirements. Designs and administers internal controls over financial reporting.

Job Responsibilities
• Facilitates the annual SOX risk assessment, including updates
• Participates in the review and evaluation of existing and proposed internal controls over manual and automated operations to comply with SOX requirements
• Conducts end-to-end process walkthroughs for complex accounting or banking operations processes and identifies areas of improvement
• Works closely with different business owners to support qualitative improvements in control operations to reduce / eliminate control deficiencies
• Reviews preliminary findings within the internal/external audit team, monitor and facilitate identified deficiencies and SOX remediation efforts to ensure timely closure and assessment of findings
• Guides management through implementation of new controls in response to changes in accounting guidance
• Facilitates management’s SOX Committee, including preparation of presentation, coordinating the meeting, and documenting meeting minutes
• Coordinates and liaises with external auditors for all SOX control testing requests
• Provides annual SOX training to management of the company
• Ensures that own work is in compliance with all applicable laws, regulations, policies and guidelines
• All other duties as assigned.

Skills and Abilities
• Ability to communicate effectively with a high degree of comfort with management, peer groups and internal and external auditors
• Ability to be a change agent, consensus builder and thought leader that can drive improvement and efficiency by thinking creatively
• Ability to independently and deliver results in a timely and accurate manner; possess a proactive, hands-on approach to project management and issue resolution
• Ability to effectively develop and communicate recommendations based upon SEC guidance and PCAOB standards
• Detail-oriented problem solver with proven ability to evaluate processes, controls and issues to determine the risks; proven ability to facilitate discussions and bring to closure control issues
• High ethical standards with a drive to achieve the right answer in difficult and/or urgent/frequently-changing situations
• Strong interpersonal skills and a history of collaboration across teams
• Excellent written and verbal communication skills; must be comfortable communicating with individuals at all levels of the organization and able to tailor communications appropriately

Working Conditions and/or Physical Requirements
• Ability to work under stress and meet deadlines
• Ability to travel if required to perform the essential job functions
• Ability to lift/move/carry approximately 20 pounds if required to perform the essential job functions. If the employee is unable to lift/move/carry this weight and can be accommodated without causing the department an “undue hardship” then the employee must be accommodated; hence, omitting lifting as a physical requirement.

Basic Qualifications

• Bachelor’s degree in accounting, finance or a related field
• Minimum 5+ years of internal audit, external audit, accounting, and/or SOX experience

• Prior experience in the banking industry
• COSO, SOX 302 and 404 compliance subject matter expert
• Professional certification (e.g., CPA, CIA, CISA)
• Public accounting experience from a national firm
• Strong understanding of internal controls, particularly internal controls over financial reporting (ICFR)
• Strong desktop skills (Microsoft Word, Excel, Access, PowerPoint)