The ideal candidate for this role thrives on identifying efficiency and accuracy gains in an audit role with visibility and growth potential. Process improvement-oriented SOX Internal Auditor sought for an investment firm to maximize operational efficiency and to promote a strong compliance culture. Sarbanes-Oxley Audit experience at a large accounting firm is required. This role reports to the Manager of Internal Audit.
Perform day-to-day planning and execution of financial, compliance, and operational audits for the business and IT SOX compliance efforts.
Coordinate internal resources, conduct testing, ensure test results are documented and that issues are identified and resolved. Interface with management to develop an understanding of key processes, systems & controls and associated risks.
Report the results of internal control testing and communicate gaps and weaknesses to senior managers and process owners. Work closely with process owners to remedy gaps and ensure corrective action plans are in place.
Partner with management regarding the identification, monitoring and testing of key controls, while being, competitive and cost effective.
Research, plan and develop audit objectives, audit approaches and scope to identify process improvements and leverage best practices from an internal control perspective.
Continually improve global processes to comply with the Sarbanes-Oxley Act by maintaining compliance with SOX legislation, COSO and PCAOB standards, guidelines and trends.
Advise senior management regarding risk and control issues and provide practical recommendations to ensure risks are appropriately managed and operational efficiencies are identified.
Develop a strong working relationship with the independent auditors and coordinate when possible to ensure maximum efficiency from the internal and external audit resources.
Prepare and maintain appropriate audit work papers, supporting documents and reports in compliance with departmental standards and professional practice requirements.
Candidate MUST be currently working in a Big 4 firm at the senior associate or lower level.
Bachelor’s Degree required. in accounting, finance or equivalent.
CPA or CIA preferred.
Minimum 2 years’ experience conducting and managing audits at a large accounting firm. “Big Four" public accounting experience preferred.
Experience evaluating SOX requirements is a FIRM requirement; identifying controls, control gap analysis, and evaluating testing effectiveness.
Experience working with data systems and the ability to manipulate, analyze and organize significant amounts of data.
Full understanding of the audit lifecycle is also required.
Demonstrated ability to apply IIA Standards and current knowledge of generally accepted accounting principles.
Self-starter with the ability to navigate a matrix organization and deliver results.
Strong business acumen with cross-functional experience and established track record of collaboration with others across all levels/ areas within the business.
A strong client focus with outstanding judgment, critical thinking, and superior interpersonal and communication skills.