SOX & Internal Audit Director
About The Position
The AVP Internal Audit and SOX Supervisor reports to the VP Risk and Control Manager and is responsible for managing and facilitating the Bank’s Internal Audit (IA) and SOX programs to effectively identify, assess and report on the Bank’s full range of risks and risk mitigation action steps related to internal controls. The AVP IA and SOX Supervisor must have expertise in IA and/or SOX methodologies (risk assessment, control design and operating effectiveness, testing strategies, and scoping, etc.), documentation, and control deficiency evaluation and remediation. This position works closely with internal business partners, outsourced internal audit function, and external financial audit team to ensure key controls are operating in accordance with IA and SOX requirements.
Requirements
- Bachelor's degree in Accounting, Finance or related field
- 5 years of experience working in public accounting, internal audit or similar role within a public company, preferably a bank or financial institution. Familiarity with banks or financial institutions is a plus
- Comprehensive knowledge of best practices and principles of accounting and IT internal controls, SOX compliance and US GAAP
- Experience identifying and addressing financial, operational and IT risks in business processes, evaluating the design of internal controls, and assessing the effectiveness of processes and controls.
- Strong project management skills and demonstrated ability to manage changing priorities
- Experience collaborating and working in a team environment
- Demonstrated ability to exercise independent judgment, initiative and tact in dealing with management, supervisors, staff, etc.
- Strong or above average Word, Excel and Power-point skills
- Excellent oral and written communication skills required
Nice To Haves
- Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA), preferred
- Familiarity with IT General Controls and SOC-1 or SSAE 16 reports a plus
Responsibilities
- Responsible for all IA and SOX related activities including implementation, coordination and overall execution of the IA and SOX programs
- Manage the updating of internal controls documentation (narratives and Risk Control Matrices) for financial and IT processes in collaboration with business partners
- Make recommendations and implement enhancements to the internal control environment in alignment with best practices of SOX compliance
- Responsible for working with a variety of business partners across the organization on implementation, execution, and testing compliance with internal controls.
- Recommend steps needed to address any control deficiencies, work with control owners to ensure all deficiencies are address timely and provide status updates to management
- Consult on new business initiatives, system implementations, accounting policy changes and assess the impact on internal controls
- Review audit reports to ensure deficiencies are properly identified and remediated
- Perform ERM and other risk assessments as needed for the organization
- Assist in managing the Key Report Inventory Listing. Identifying Key Reports and assisting process owners in managing the Key Report Inventory
- Summarize and present results of testing to internal stakeholders, senior management and the Board
- Other duties as assigned
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
