Manager, SOX Audit (Onsite)

• 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

• 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

• 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

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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.