Summary
The SOX Business Process Internal Auditor plays a critical role in ensuring that the organization’s financial and operational processes comply with Sarbanes-Oxley (SOX) requirements. This position involves evaluating the effectiveness of internal controls, identifying potential risks, and recommending improvements to enhance the overall compliance framework. The auditor will work closely with business process owners, internal control teams, and external auditors to ensure robust financial reporting and governance.
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Essential Job Functions
- Audit Planning & Execution:
- Develop and implement risk-based audit plans focusing on business processes critical to SOX compliance.
- Execute comprehensive audit reviews, including planning, fieldwork, documentation, and reporting on findings.
- Internal Control Evaluation:
- Assess the design and operating effectiveness of internal controls over financial reporting.
- Identify control gaps and weaknesses in business processes, recommending actionable remediation steps.
- Risk Assessment:
- Perform ongoing risk assessments to identify areas of potential exposure in financial and operational processes.
- Collaborate with management to prioritize risk mitigation efforts.
- Compliance & Reporting:
- Ensure that audit procedures align with SOX requirements and internal policies.
- Prepare detailed audit reports and present findings to senior management and relevant stakeholders.
- Collaboration & Stakeholder Engagement:
- Work closely with business process owners, finance, and IT teams to ensure understanding and adherence to SOX compliance standards.
- Serve as a liaison with external auditors, facilitating audit activities and providing necessary documentation.
- Continuous Improvement:
- Stay updated on regulatory changes and emerging best practices in internal auditing and SOX compliance.
- Recommend improvements to audit methodologies and control frameworks to enhance efficiency and effectiveness.
Qualifications & Experience
- Bachelor’s degree in Accounting
- 5-8 years of experience in internal auditing, preferably with a focus on SOX compliance or financial process auditing.
- Strong understanding of the Sarbanes-Oxley Act, internal control frameworks (e.g., COSO), and risk management methodologies.
Required Skills
- Excellent analytical, problem-solving, and critical-thinking abilities.
- Strong verbal and written communication skills, with the ability to present complex information clearly.
- Proficiency in audit management software and Microsoft Office Suite.
- Detail-oriented with the ability to manage multiple priorities and deadlines.
Preferred Qualifications
- Professional certifications such as CPA, CIA preferred.
- Experience working in a public company or within a Big 4 accounting firm.
- Familiarity with IT general controls (ITGCs) and their impact on financial reporting.
Work Environment
- The role is remote with some US time zone requirements.
- Collaborative work setting that involves interaction with cross-functional teams across finance, IT, and compliance departments.
