Sr SOX Analyst

Overview

A client is seeking a Senior SOX Analyst to join their SOX Program Management Office (SOX PMO) team. This role focuses on facilitating the annual assessment of Internal Controls over Financial Reporting for a stand-alone SEC reporting entity and its subsidiary. The position reports to the Manager of SOX Compliance and supports the objective of ensuring financial reporting compliance.

Responsibilities

• Execute the annual SOX audit.
• Facilitate assessment of control effectiveness for business units; collaborate with process owners to implement or modify controls to mitigate risk.
• Assist process owners with documentation of processes, controls, process flow, and data flow.
• Help identify risks and design controls with process owners.
• Plan and coordinate SOX walkthroughs and testing with Internal and External Audit.
• Coordinate with departmental SOX liaisons to ensure process consistency, consolidate status, and escalate issues as needed.
• Meet with process owners to understand business processes and changes affecting control environments.
• Provide support to key SOX stakeholders including process owners, Internal Audit, External Audit, and senior management.
• Oversee document repository management and adherence to retention policies.
• Support the quarterly sub-certification process.

Deficiency Identification and Remediation

• Lead efforts to research testing exceptions and identify deficiencies.
• Perform root cause analysis with process owners to determine sources of deficiencies.
• Coordinate and lead remediation efforts for business units; develop action plans and monitor remediation progress.
• Prepare deficiency reports for upper management, including analysis of potential financial impact.
• Drive continuous improvement initiatives to enhance control design and reduce risks such as fraud and human error.

Communication, Coordination & Training

• Maintain ongoing communication with process owners regarding key SOX deliverables and control operations.
• Assist or lead special projects related to financial reporting impact.
• Serve as a subject matter expert on financial reporting risks and controls.

Requirements

• Bachelor’s degree (BA or BS) in Accounting, Business, or Finance with an audit background.
• 5 to 10 years of relevant work experience, with a minimum of 5 years.
• Familiarity with Audit, Sarbanes-Oxley (SOX), COSO, and Governance, Risk, and Compliance (GRC) methodologies and frameworks.
• Strong written and oral communication skills.
• Strong analytical skills and initiative; ability to multitask.
• Ability to develop strong partnerships and influence others.
• Comfortable working in ambiguous or changing work environments.
• Quick learner of new applications or software tools.
• High organizational skills and ability to meet deadlines.
• Proficiency with Microsoft Office (Excel, Word, PowerPoint, SharePoint, Teams).
• Experience with Lucid or other process flow software.
• Attention to detail and accuracy in data handling.
• Ability to work collaboratively within a team.
• Consistently meet performance expectations.

Preferred Qualifications

• Advanced degree such as Master of Accounting or MBA.
• Professional certifications such as CPA, CIA, or CFE.
• Experience in financial services, banking, or automotive industries.
• Experience with Archer Governance Risk and Compliance (GRC) software.

Location

Not specified.

Additional Information

Candidates should be prepared to answer mandatory questions related to the role as part of their application process.