Sox Compliance

G.A.S. Unlimited, Inc. Philadelphia, PA

Location: Philadelphia, PA

Duration: 3 Months

The position will report to the Global Head of Sarbanes-Oxley (SOX) Program Management Office (PMO) of the client who is part of the Group Risk Management (GRM) leadership team. The SOX PMO Lead is a member of the SOX PMO team that is responsible for enhancing and leveraging internal and external partnerships to assist the team with the annual assessment of internal controls over financial reporting (ICFR) to ensure the client’s compliance with the Sarbanes-Oxley Act. The SOX PMO Lead is a key resource who supports the execution of the assessment program including the planning, testing, documentation, and reporting of the effectiveness of ICFR. As such, this role requires a deep understanding and experience with all aspects of internal controls including financial information technology systems for a complex and multidisciplinary organization.

As the SOX PMO Lead, your responsibilities include:

  • Support the annual SOX program including scoping, assessment, documentation, walkthroughs, testing, and reporting for relevant business and technology processes.
  • Work with process owners to identify, design and document new business processes or changes to existing processes including process narratives, related flowcharts, and the identification and documentation of key controls.
  • Ensure control owners understand their role and responsibilities; provide training.
  • Identify opportunities for process improvements/efficiencies and collaborate with process owners in the implementation of the solutions.
  • Collaborate with management on conducting root cause analysis and the development and execution of remediation efforts of control deficiencies.
  • Ensure testability of existing, edited, and new controls.
  • Act as liaison for the control owners with the SOX Testing team and the external auditors; support and advise the SOX process and control owners and IT colleagues on SOX related matters.
  • Collaborate closely with internal and external audit throughout all components of the SOX lifecycle to share information and minimize duplication of efforts where possible.
  • Assist in maintaining internal program metrics including the status of design, operational testing progress and status of issue/remediation action plans.
  • Become a subject matter expert for the design and effectiveness of assigned processes.
  • Provide guidance and/or training to the process and control owners on the use of the internal SOX repository (BWise).
  • Participate as a key user of the integrated GRC platform (BWise) to ensure the system provides the appropriate level of support and efficiencies for the SOX program.
  • Stay abreast of changes in financial reporting regulations to ensure the client’s timely compliance.
  • Continually evaluate the client’s overall financial reporting control environment.
  • Effectively communicate with broader global risk team and collaborate with peers to ensure consistency of approach and awareness of issues, challenges, and opportunities.
  • Pro-actively engage Internal Audit, SOX, Compliance, Information Security, Vendor Risk Management, Business Continuity and other assurance functions to support an integrated approach to risk management.

  • BA/BS in accounting, information technology or related field.
  • 7+ years of experience, with a mix of audit, risk and/or technology, and/or consulting roles.
  • Big 4 public accounting experience with Fortune 500 clients a plus.
  • Extensive knowledge of the internal control framework (specifically COSO 2013) and a solid understanding of the concepts of control design and operational efficiency.
  • Experience in the financial services industry (capital markets or financial technology), preferred.
  • Previous SOX experience or other comparable risk and control design or assessment experience with a preference for previous experience in performing walkthroughs and developing process flowcharts.
  • Excellent interpersonal, oral, and written communication skills.
  • Strong problem-solving skills, investigative, and analytical skills including ability to effectively address issues in collaboration with others.
  • High attention to detail and accuracy.
  • Demonstrated ability to develop trusted working relationships at all levels of the organization.
  • Ability to act independently, proactively, and work effectively across business units, functions and regional locations.
  • Action and results oriented; ability to drive results, effect change, and have a positive impact on the organization.
  • Advanced Microsoft office skills.
  • Ability and willingness to travel.