Senior Consultant, SOX & Financial Controls

Northwest Bank•Fishers, IN

1d•Onsite

About The Position

The Senior Consultant, SOX & Financial Controls supports the Northwest Bank's Sarbanes-Oxley (SOX) 404 compliance program that ensures the organization maintains effective internal controls over financial reporting in accordance with Section 404 of the Sarbanes-Oxley Act. This role requires a strong understanding of internal control frameworks (e.g., COSO), financial reporting risks, and regulatory expectations, particularly within the banking sector. The SOX Senior Consultant is responsible for risk assessments, preparing process documentation, control testing, and tracking issue remediation plans.

Requirements

Bachelor's Degree in Accounting, Finance, or a related field
3 - 5 years Relevant experience in SOX compliance, internal audit, public accounting, or financial risk management
Strong knowledge of SOX 404, COSO Internal Control Framework, and PCAOB auditing standards
Proven understanding of internal control design, documentation, and testing methodologies
Proficiency in Microsoft Office Suite, including Excel, PowerPoint, Word, Outlook, Teams, and Power BI
Self-motivated and able to work independently with minimal supervision
Adaptable and comfortable working in a fast-paced, evolving environment

Nice To Haves

Experience using GRC platforms (e.g., Archer)
Experience with process mapping tools (e.g., Visio)
CPA Certified Public Accountant
Certified Internal Auditor

Responsibilities

Lead and execute walkthroughs with business process owners to document end-to-end processes, identify key risks, and assess control design
Perform annual and ongoing SOX risk assessments, including scoping, risk ranking, and control mapping
Evaluate the design and operating effectiveness of manual, automated, and IT-dependent controls
Identify, document, and assess control deficiencies; determine root causes, assess impact, and partner with stakeholders to develop and track remediation plans
Maintain and update SOX documentation, including narratives, flowcharts, risk/control matrices (RCMs), and testing attributes
Support quarterly and annual SOX certifications and sub-certifications, including gathering and reporting results
Coordinate with internal and external auditors to support reliance strategies, walkthroughs, test reviews, and ensure alignment on findings and remediation
Ensure the efficient flow of information and documentation to auditors and other stakeholders
Communicate findings and recommendations to management in a clear and timely manner and assist in the development of action plans
Track and report on SOX metrics, control deficiencies, and remediation progress
Prepare reports, dashboards, and presentations for senior leadership, audit committee, and regulators
Contribute to automation and continuous improvement initiatives across the SOX program
Develop and maintain strong collaborative relationships with several internal and external stakeholders
Ensure compliance with Northwest’s policies and procedures, and Federal/State regulations
Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
Work as part of a team
Work with on-site equipment