AVP/Manager - Controllership Governance/IT SOX Compliance

- Manage IT aspects of the SOX compliance program and related activities.

- Assess and monitor the IT control environment to identify IT control objectives, risks, applications, third-party suppliers, and controls relevant to compliance with SOX.

- Evaluate the impact of IT related process changes on financial reporting risk, SOX compliance objectives, and the SOX control testing scope.

- Evaluate process owner response to end-user control considerations and the impact of testing results in the SSAE 18 SOC1 reports for in-scope third party service providers.

- Identify and evaluate the impact of IT related control gaps and deficiencies.

- Identify application controls and ensure that the financial control scoping is appropriately relying on applications controls to avoid over-testing

- Assist with the development and maintenance of the annual SOX testing scope and plan.

- Prepare and maintain required documentation to a high standard of quality.

- Communicate IT SOX testing requirements, control gaps, and control deficiencies.

- Monitor IT SOX testing and deficiency remediation. Escalate concerns or delays.

- Support SOX program update and progress reporting.

- Provide advice on control design, deficiency remediation, and process documentation.

- Identify and communicate process and control improvement opportunities.

- Support data driven process monitoring, testing, and automation initiatives

- Work with the Controllership Governance leader to define and prioritize data driven process monitoring, analysis, and automated testing goals.

- Support initiatives to automate and standardize workflows and reporting.

- Identify, acquire, and prepare data for use in analysis, automated testing and reporting.

- Develop, maintain, and execute automated testing scripts.

- Identify, analyze, and interpret trends in monitoring data sets.

- Execute assigned Governance testing and monitoring requirements.

- Design and prepare reports of Controllership Governance activities and process monitoring trends. Perform other duties as assigned.

Qualifications/Requirements:

- Bachelor's degree in Computer Science, Information Management, Finance, Accounting, or a related field.

- Minimum 8 years of experience in audit or SOX requiring knowledge of auditing principles, auditing standards, IIA standards, PCAOB, and SOX requirements.

- Experience in IT General Computer/Application controls and understanding of IT platforms, applications and related technology.

- Experience with the Committee of Sponsoring Organizations of the Treadway Commission (COSO) framework and its

- supplement the Control Objectives for Information and related Technology (COBIT)

framework for IT controls.

- Experience performing data driven analysis and testing.

- Knowledge of and experience with reporting packages (Tableau, Business Objects, Hyperion etc), databases (SQL etc), Programming (XML, Javascript, or ETL frameworks).

- Knowledge of statistics and experience using statistical packages for analyzing datasets (Excel, SPSS, SAS etc)

Desired Characteristics:

- Financial Services industry experience highly desired

- Prior experience managing IT SOX and/or FDICIA programs

- 3+ years- experience in the IT internal controls over financial reporting

- Familiar with SSAE 18 requirements

- Strong written and oral communication skills.

- Ability to communicate with stakeholders of all levels.

- Ability to work independently and at a fast pace.

- Familiarity with and operating understanding of consumer loan products and processes.

- Excellent analytical and problem-solving skills.

- Attention to detail and follow up skills are essential.

- Adept at queries, report writing and presenting findings.

- Formal Project Management experience is a plus.

- Certified Information Systems Auditor (CISA) or similar certification(s)

- Proficiency in MS Office applications