Internal Audit, SOX Associate Manager

📋 Description

• Direct and supervise the BPO team tasked with conducting internal controls testing as part of the Sarbanes-Oxley (SOX) 404 Compliance Program, focusing on daily oversight, work prioritization, and quality assurance of outputs.

• Collaborate with the Internal Audit SOX leadership to convert the SOX audit plan into specific testing assignments for the BPO team, ensuring comprehensive coverage, appropriate scoping, and timely execution across relevant processes and entities.

• Evaluate BPO-generated testing workpapers to ensure clarity, accuracy, completeness, and compliance with Internal Audit quality and professional standards; provide constructive feedback and coaching to enhance documentation quality continuously.

• Organize and facilitate process walkthroughs with functional business partners and external auditors, ensuring BPO team members have the necessary information and context to conduct testing effectively.

• Act as the primary liaison for BPO inquiries regarding testing, evidence requirements, and interpretation of control objectives, assisting in the swift and consistent resolution of issues.

• Track and communicate testing progress, including the creation of status dashboards and metrics to keep Internal Audit leadership and key stakeholders informed of testing status, significant issues, and timing risks; escalate concerns as needed.

• Collaborate with business partners and BPO resources to pinpoint audit issues, conduct root cause analyses, and ensure the resolution of SOX deficiencies, including monitoring agreed action plans and supporting remediation validation testing.

• Foster trust and maintain strong relationships with internal partners (e.g., Business Controllership, broader Finance, IT, Compliance), BPO leadership, and external auditors (Deloitte), ensuring alignment on expectations and seamless coordination of SOX testing activities.

• As required, perform targeted hands-on walkthroughs and testing for high-risk or complex areas, or where additional subject-matter expertise is necessary, and assist with other Internal Audit or special projects as assigned.

• Exhibit the ability to effectively utilize generative AI tools and copilots (e.g., LibreChat, Gemini, Glean) in daily tasks, continually adapting as tools evolve, and applying human-in-the-loop practices to produce business-ready outputs and drive measurable improvements in efficiency, cost, and quality.

⛳️ Requirements

• Bachelor’s degree in Accounting, Finance, or a related field, or equivalent practical experience.

• A minimum of 7 years of experience in accounting, financial audit, or SOX/ICFR, with considerable experience in SOX 404 testing within a public company or public accounting setting.

• Professional certification such as CPA, CIA, or equivalent is highly preferred.

• Strong technical skills, encompassing US GAAP, SOX, COSO, risks and controls, and operational processes pertinent to a large, complex, technology-driven financial services sector.

• Background in Big 4 or large public company audit (internal or external), with proven success in leading or overseeing SOX audits and collaborating with external auditors.

• Demonstrated experience in people management and/or team leadership, including overseeing outsourced/BPO teams or staff-level team members (workload planning, coaching, and performance feedback).

• Proficiency in Google Suite (Sheets, Docs, Slides) and advanced Excel/Sheets capabilities, including managing large data sets and templates.

• Experience leveraging AI and automation tools (e.g., generative AI assistants, workflow automation platforms, and data lineage tools) to improve audit planning, SOX testing, and documentation processes.

• Proven ability to quickly learn and adopt new AI-enabled and data tools, applying them to enhance efficiency, quality, and insight generation in SOX/ICFR testing.

• Capacity to collaborate effectively across the organization, including Finance, IT, Compliance, BPO leadership, and External Audit, and to function across time zones as part of a global team.

• Highly detail-oriented and organized, capable of managing multiple priorities and deadlines, and able to work both independently and cooperatively in a fast-paced environment.

• Exceptional communication skills (both written and verbal) and strong interpersonal abilities, with the capability to clearly and constructively present issues and recommendations to stakeholders at various levels.

🏝️ Benefits

• Health insurance

• Retirement plans