Manager, SOX Audit (Onsite)
Exceed the expectations of our residential mortgage borrowers & business partners through superior service, simple processes, and effective communications.
We deliver on this mission by empowering our employees by encouraging and recognizing superior performance and innovative solutions, by promoting teamwork and divisional cooperation.
The SOX Audit Manager is a Senior Level Internal Auditor, responsible for completion of the annual Sarbanes-Oxley Act, (SOX) planning, execution, and testing, in addition to compiling and reporting results to management. This responsibility includes assisting with the identification of risk, assisting in the development of the internal SOX audit scope, performing SOX procedures, and preparing SOX reports reflecting the results of the work performed. The SOX Audit manager will also be responsible for reviewing the workpapers of the SOX team. Work performed will include coverage of financial and operating units in the Corporate, Origination, Servicing and technology centers for the Company.
- Sr. SOX Auditors
- Perform functional audits, procedural reviews, and compliance testing as directed by the Head of Internal Audit and Director of Internal Audit
- Responsible for managing SOX process and reviewing team workpapers being executed for SOX testing
- Analyze and draw conclusions toward compliance, effectiveness, and efficiency of the SOX specific control environment, by preparing workpapers and audit reports that detail findings and recommendations
- Document the results of audit work and applicable work papers in accordance with the audit departmental procedures
- Evaluate and monitor established internal controls, policies, and procedures (both written and practiced) for adequate asset safeguards, control of risks, and compliance
- Identify and complete non-standard procedures required to satisfy audit objectives based on field work or issues identified in the course of reviews
- Examine general ledger entries for appropriate segregation and approval processes
- Prepare written draft audit reports/memorandums to management detailing audits for management’s review
- Perform and document follow-up of auditee responses on prior audit and exam reports
- Facilitate the documentation of all SOX remediation efforts as well as perform testing of remediation activities during and/or upon completion
- Expand knowledge of all subsidiaries’ departments through training programs, seminars, employee interaction, and publications. Continuously develop & expand internal audit skills as well as strengthen best practices
- Assist external auditors and regulators with information compilation, retrieval, and reconciliations as directed by Internal Audit Management
- Follow established policies and procedures throughout the company. Safeguard sensitive data and resources. Maintain strict confidentiality.
- Develop and train team members to develop their professional careers
- Performs related duties as assigned by supervisor
Education and Experience Requirements
- A BS/BA degree is required.
- Minimum 5-8 years internal or external audit experience in the financial services industry with a concentration in mortgage industry preferred.
- Working knowledge of SOX auditing attained through 3-5 years of progressive work experience with a focus on financial risk and SOX regulatory requirements.
- Certified Public Accountant (CPA) or Certified Internal Auditor (CIA) preferred.
- Experience in performing multiple audit projects and working with varying levels of experience among team members
Knowledge, Skill and Ability Requirements
- Understanding of internal control concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions
- High level of accuracy and attention to details
- Strong analytical, organizational, critical thinking, and problem-solving skills
- Ability to work independently, with limited required direction and guidance-May include supervision of auditors on projects to follow sound internal control practices and to manage risks appropriately
- Strong verbal and written communication skills, including the ability to interact and relate to personnel at all levels within the organization and to effectively support and defend unbiased findings to management
- Capable of leading or facilitating meetings with Director level (and higher) attendees
- Advanced knowledge of Microsoft Office (PowerPoint, Excel, Word, etc.)
- Demonstrate proficiency of the technical aspects of accounting and financial reporting, meeting strict audit deadlines, with minimal errors
- Ability to work in and assist in the development of a collaborative team environment
- Some travel required
While this description is intended to be an accurate reflection of the position’s requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary.
By applying to this position candidate acknowledges that this is not a remote role and is required to be on-site.
* 15 Paid Time Off (PTO) days and 18 after 1st anniversary!
* 9 Paid Holidays
* Casual Workplace
* Employee Engagement Activities
* Medical (including Health Savings Account & Flexible Savings Account)
* Dental - RX - Vision - Life, Disability Insurance - 401(k) Plan with company match! - Employee Assistance Plan
* Performance-based Incentives
* Pet Insurance
* Advancement Opportunities
* Our Corporate Social Responsibility program, Newrez NOW, empowers employees to become leaders in their communities through a robust program that includes volunteering, philanthropy, nonprofit grants, and more
* 1 Volunteer Time Off (VTO) day, company-paid volunteer day where all eligible employees may participate in a volunteer event with a nonprofit of their choice
* Employee Matching Gifts Program: We will match monetary employee donations to eligible non-profit organizations, dollar-for-dollar, up to $1,000 per employee
* Newrez Grants Program: Newrez hosts a giving portal where we provide employees an abundance of resources to search for an opportunity to donate their time or monetary contributions
Equal Employment Opportunity
We're proud to be an equal opportunity employer- and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. Different makes us better.
Job Status: Full Time
Job Reference #: R5157