SOX Data Analytics & AI Manager

SoFi•San Francisco, CA

About The Position

The Sarbanes-Oxley (SOX) Program Management Office (PMO) and Testing Group at SoFi is part of the Controllership and is responsible for ensuring the company has the necessary internal control and assessment elements in place to meet the SOX requirements. The PMO facilitates risk assessment and scoping to determine project scope of each reporting year, then prepares the internal control assessment plan and accompanying timeline, inclusive of scheduling and conducting walkthroughs for each process and control, and updating corresponding control description and process flowcharts.The Testing team facilitates all SOX management assessments for SoFi and its subsidiaries by attending control walkthroughs and conducting testing for all in-scope systems and controls. The IT Testing team performs testing over IT General Control, IT Automated Controls, Key Reports and IT-related Entity Level Controls. The Data Analytics team develops and implements testing automations, evaluates new technologies and supports reporting and dashboarding for the SOX Audit. Responsibilities for the SOX Data Analytics & AI Manager, include, but are not limited to, identifying, developing and implementing data analytics and automation solutions for the SOX PMO & Testing teams, partnering with external stakeholders to implement automation solutions related to SOX controls, providing oversight of the SOX Data Analytics program, and assisting the SOX PM with reporting as needed. The SOX Data Analytics & AI Manager will report to the SOX IT Testing & Data Analytics Senior Manager, and will work with a mix of direct, indirect, and external team members to execute the program, including the SOX PMO IT Sr Manager and PMO team, to employ strategic and critical thinking skills to develop data analytics and automations. SoFi’s fast pace of growth provides career development (e.g., work directly with senior and executive management) and learning opportunities (e.g., new system implementations) considering the role's enterprise-wide exposure. What you’ll do: Use data analytics, automation techniques and AI to increase efficiency and effectiveness in the SOX program execution (e.g., risk assessments, testing, fraud risk detection, deficiency analysis), program analytics/monitoring as well advise the business control owners on mechanisms to automate controls. Develop, Build and Lead the SOX Data Analytics and AI program Create SOX Data Analytics and AI program framework and policy/standards Work closely with the SOX team and cross-functional stakeholders to translate business objectives into technical specifications for data analytics and automation projects. This includes understanding the SOX business need, identifying technical requirements and bridging the gap between complex data and systems, business needs and internal control requirements. Lead the integration of AI and Automation tools to enhance testing efficiency. Develop and deploy automated continuous control monitoring solutions to provide comprehensive coverage of high-risk areas, shifting from point-in-time assurance to continuous assurance Design and implement automated data pipelines, build SQL queries and data extraction scripts for evidence retrieval and control testing, reducing manual intervention Collaborate with business stakeholders and EPD teams to design and implement integrated solutions that meet business and internal control requirements. Identify opportunities for process improvement through automation within the internal control environment. Partner with other Data Analytics teams across the three lines of defense to drive cross-functional data analytics projects, such as the build out of a shared data warehouse and code library, and harmonize risk and control reporting across. Establish internal policies, procedures and standards for the deployment and use of Automation and AI within the internal control environment. Collaborate with the SOX Sr Director, SOX Sr Program Manager, SOX IT Testing Lead and other SOX Leads to identify reporting needs, develop and implement dashboards, including the monitoring of SOX Program (e.g., Audit Status, Issue Trends, Resourcing, Budgeting) Key management consultant, and internal controls expert in building and maintaining ongoing relationships with the various lines of business included in the company's SOX process. Responsibilities also include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance 2) adhering to company policies and procedures, 3) completing required training. Support other assignment and ad hoc matters as required

Requirements

Education: Bachelor's Degree.
5-7 or more years of Data Analytics experience, including 2-3 years of data analytics within internal audit control teams
Proficiency in SQL, Python and other languages, including writing complex SQL queries to pull data
Experience with business intelligence, data warehousing and dashboarding, including Snowflake, Tableau and PowerBI
Ability to work independently and lead in ambiguity and in a fast-paced environment
Understanding of data lineage and integrity
Driven by Excellence - you are driven by our mission and our passion for customer success which means you relentlessly pursue excellence, that you do not tolerate mediocrity and you work intensely to achieve your goals
High Integrity - you seek open and honest communication, and you hold yourself to very high moral and ethical standards
You reject manipulation, dishonesty and intolerance
Critical thinking, analytical and strategic skills
Ability to independently navigate within an ambiguous environment
Organized, detailed, proactive, self-motivated, collaborative
Proven ability to work cross functionally and adapt to change are extremely important
Ability to prioritize workloads and ensure deadlines are consistently met
High integrity and ability to handle confidential information
Ability to define deliverables, build budgets and project plans, align resources and specialists for project teams
Strong project management skills and organizing ability with successful experience in concurrently managing multiple projects at varying levels of technical difficulty
Strong teamwork and communication skills (both oral and written)

Nice To Haves

Big 4 Accounting Firm experience is strongly preferred.
CPA and CIA/CISA or strongly preferred
Prefer FinTech, banking and/or financial services experience primarily focused on IT SOX or IT enterprise-wide risk management and ICFR controls consulting.
Practical and deep knowledge of IT / BP SOX, ICFR and COSO and baseline understanding of business process controls.
Expertise in performing SOX testing, including ITGCs, ITACs, Manual Controls and Key Report Testing (e.g., examining report configurations, scripts)

Responsibilities

Use data analytics, automation techniques and AI to increase efficiency and effectiveness in the SOX program execution (e.g., risk assessments, testing, fraud risk detection, deficiency analysis), program analytics/monitoring as well advise the business control owners on mechanisms to automate controls.
Develop, Build and Lead the SOX Data Analytics and AI program
Create SOX Data Analytics and AI program framework and policy/standards
Work closely with the SOX team and cross-functional stakeholders to translate business objectives into technical specifications for data analytics and automation projects. This includes understanding the SOX business need, identifying technical requirements and bridging the gap between complex data and systems, business needs and internal control requirements.
Lead the integration of AI and Automation tools to enhance testing efficiency.
Develop and deploy automated continuous control monitoring solutions to provide comprehensive coverage of high-risk areas, shifting from point-in-time assurance to continuous assurance
Design and implement automated data pipelines, build SQL queries and data extraction scripts for evidence retrieval and control testing, reducing manual intervention
Collaborate with business stakeholders and EPD teams to design and implement integrated solutions that meet business and internal control requirements.
Identify opportunities for process improvement through automation within the internal control environment.
Partner with other Data Analytics teams across the three lines of defense to drive cross-functional data analytics projects, such as the build out of a shared data warehouse and code library, and harmonize risk and control reporting across.
Establish internal policies, procedures and standards for the deployment and use of Automation and AI within the internal control environment.
Collaborate with the SOX Sr Director, SOX Sr Program Manager, SOX IT Testing Lead and other SOX Leads to identify reporting needs, develop and implement dashboards, including the monitoring of SOX Program (e.g., Audit Status, Issue Trends, Resourcing, Budgeting)
Key management consultant, and internal controls expert in building and maintaining ongoing relationships with the various lines of business included in the company's SOX process.
Responsibilities also include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance 2) adhering to company policies and procedures, 3) completing required training.
Support other assignment and ad hoc matters as required