Manager of SOX Compliance - Corporate Accounting

SUMMARY:

Manages the bank’s compliance with the (SOX) Sarbanes-Oxley Act. Complies with US GAAP, risk and controls standards, and business process best practices. Responsible for overseeing, maintaining, and improving the bank’s SOX process and documentation. Work with the VP – Finance & Accounting Policy and other internal stakeholders to identify, implement and maintain SOX compliance and efficiencies.

SUPERVISORY SKILLS:

Carries out supervisory responsibilities in accordance with the organization’s policies and applicable laws.  Responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Demonstrates a strong understanding of internal controls, risk management, and financial reporting.

Assists with providing strategic direction and hands-on oversight in maintaining and improving the financial Controls / Sarbanes-Oxley (SOX) function.

Maintains and improves the design of the SOX program and SOX compliance efforts.

Conducts comprehensive risk assessments to identify key controls, evaluates control design effectiveness, and assesses the overall control environment.

Develops or enhances needed SOX processes and controls based on gaps identified during the risk assessment.

Assists peers with System and Organization Controls (SOC 1) reports that directly relate to SOX controls to ensure the controls are operating effectively and any needed user controls are in place.

Collaborates and builds trust with internal stakeholders, external auditors, and senior management to communicate the status of SOX compliance efforts.

Identifies audit issues and performs root cause analysis with practical corrective solutions.

Performs other duties, special projects as assigned.

OTHER REQUIREMENTS:

Banking is a highly regulated industry and you will be expected to acquire and maintain a proficiency in the Bank’s policies and procedures, and adhere to all laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete all assigned compliance training in a timely manner.

Professional demeanor in appearance, interpersonal relations, work ethic and attitude.

Possess clear, concise, effective written and oral communication skills to effectively express. thoughts, ideas and concepts to bank employees and bank customers.

Ability to work with others in a team environment.

Ability to coordinate and manage multiple tasks in various stages.

Ability to define problems, collect data, establish facts, draw conclusions and solve problems.

Effective organizational skills with attention to detail.

Ability to work under pressure.

Able to work independently and meet communicated deadlines.

Proficient in Microsoft Word, Excel and Outlook.

Ability to learn the various banking programs. 

B.S. Degree in Business Administration with Accounting/Finance, or equivalent required. Masters in Business Administration preferred.

Minimum of three years of accounting, financial audit, or risk management experience preferably in banking or financial services required.

Extensive knowledge of US GAAP, Sarbanes-Oxley, risk and controls standards, and business process best practices required.

Certified Public Accountant (CPA)/Certified Internal Auditor (CIA) preferred.