Specialist - Controllership - SOX Compliance 4A
Core
Perform control testing, maintain control matrices, and support documentation for financial processes to ensure SOX compliance.
Role type
Specialist, SOX Compliance & Internal Controls
Builds
Audit evidence repositories and compliance documentation for financial processes
Domain
Financial Services / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Audit Risk Assessments, Fraud Risk Management, Internal Auditing, Sarbanes-Oxley Act (SOX), Stakeholder Management
Preferred skills
Certified Compliance Officer (CCO), Certified Internal Auditor (CIA), Certified Risk Professional (CRP)
Technologies
None stated
Responsibilities
Perform control testing and support documentation for financial processes; Help maintain control matrices and audit evidence repositories; Assist in identifying control gaps and tracking remediation; Collaborate with teams to ensure timely compliance updates; Support internal reviews and reporting activities; Monitor the effectiveness of SOX controls and recommend improvements; Coordinate with control owners to obtain and validate supporting evidence; Assist in the assessment of process changes and their impact on SOX compliance; Track testing results, deficiencies, and remediation plans to completion; Support management in preparing documentation for internal and external audits; Ensure compliance with SOX requirements, company policies, and regulatory standards; Participate in walkthroughs to understand business processes and control activities; Maintain accurate records of control testing, findings, and audit trails; Analyze control exceptions and assist in developing corrective action plans; Prepare status reports and compliance metrics for management review; Support risk assessments and annual SOX scoping activities; Work cross-functionally with Finance, Accounting, IT, and operational teams to strengthen internal controls; Contribute to continuous process improvement initiatives that enhance control effectiveness and efficiency; Assist in training and educating process owners on SOX compliance requirements and control responsibilities; Stay informed of regulatory changes, audit best practices, and emerging compliance risks.
Seniority
Specialist, entry-to-mid level
