Job Description

SOX Compliance Manager

We are seeking a dedicated professional to manage, design, execute, and enhance our Sarbanes-Oxley (SOX) compliance program. You will lead end-to-end SOX cycles, oversee the annual testing plan, and partner with leaders across Finance, Operations, and Technology to ensure robust internal controls, drive process efficiency, and ensure seamless coordination with external auditors.

Position Details

Department: Internal Audit / Finance

Position Type: Full-time

Location: Uniondale, NY. (Possible travel to NJ, CO, CA?)

Reports to: ___________________________________________________

Qualifications & Skills

• Experience:
  5+ years of experience in internal audit, public accounting, or SOX compliance management. Bachelor’s degree in Accounting, Finance, or a related field (CPA, CIA, or CISA certification preferred).
• Technical Expertise: Strong technical understanding of SOX Section 404 requirements, the COSO framework, US GAAP, and PCAOB standards.
• Leadership Skills: Proven ability to lead end-to-end SOX cycles, including risk assessments and controls documentation.
• IT Controls: Proven experience collaborating with IT teams on IT General Controls (ITGCs), application controls, and technology-dependent processes.
• Communication:
  Exceptional relationship-building skills with the ability to influence and guide cross-functional process owners.
• Cross-Functional Partnering: Ability to partner with Finance, Operations, and Technology leaders to evaluate and remediate control deficiencies.

Key Responsibilities

• Program Oversight & Management: Oversee and execute the annual SOX testing plan while coordinating directly with external auditors. Lead the end-to-end SOX compliance lifecycle, including annual scoping, risk assessments, and controls documentation.
• Matrix Maintenance: Maintain and enhance the Risk and Control Matrix (RCM) for key business processes, ITGCs, and application controls. Test ITGC domains including logical access, change management, program development, and data center operations. Validate automated system configurations, interface controls, and Key Reports (Information Produced by Entity - IPE).
• Risk Assessments: Conduct and refresh annual risk assessments in alignment with the COSO framework.
• Deficiency Remediation: Partner with cross-functional leaders to evaluate control deficiencies and develop effective mitigation strategies. Evaluate control deficiencies, collaborate with management to formulate remediation plans, and monitor re-testing.

• Control Evaluation: Review control design and testing effectiveness to ensure long-term scalability and operational soundness. Identify redundant controls to streamline the framework and enhance control language clarity.

• Liaison Duties: Serve as the primary liaison for process owners to interpret control issues and develop effective mitigation strategies. Coordinate the reliance strategy to optimize the external audit budget and minimize business disruption. Serve as the primary point of contact for external auditors to facilitate information requests and PBC (Provided by Client) logistics.
• Process Improvement: Drive continuous improvement by integrating technology tools into control documentation and reporting workflows. Conduct annual process walkthroughs with control owners to document end-to-end workflows and identify gaps.

We are seeking a professional to manage, design, execute, and enhance our SOX compliance program

Strong technical understanding of SOX 404 requirements, COSO, US GAAP, and PCAOB standards

Proven ability to lead end-to-end SOX cycles, including risk assessments and controls documentation

Experience collaborating with IT teams on technology-dependent controls and information technology general controls

Oversee and execute the annual SOX testing plan, coordinating with external auditors

Maintain and enhance the Risk and Control Matrix (RCM) for key business processes, ITGCs, and application controls

Conduct and refresh annual risk assessments consistent with the COSO framework

Partner with Finance, Operations, and Technology leaders to evaluate and remediate control deficiencies

Review control design and testing effectiveness for scalability and operational soundness

Serve as the main liaison for process owners to interpret control issues and develop mitigation strategies

Drive continuous improvement by integrating technology tools into control documentation and reporting workflows