The Role
Position Summary
Focus Financial Partners is seeking a dynamic and detail-oriented Manager, SOX Compliance to play a key role in our global Sarbanes-Oxley (SOX) program. In this position, you will oversee all aspects of our quarterly and annual compliance initiatives, ensuring adherence to regulatory requirements and best practices. This role offers a unique opportunity to drive process improvements, collaborate with cross-functional teams, and strengthen the company’s internal control environment in a fast-paced, growth-oriented organization.
The SOX Compliance team collaborates closely with key partner firms, corporate hubs, and external auditors to ensure the Company's SOX compliance program aligns with industry best practices and that key controls over financial reporting remain effective.
This role is based in New Hyde Park, NY.
Primary Responsibilities
- Lead the annual risk assessment, mapping, and scoping process to ensure comprehensive SOX coverage.
- Establish and maintain SOX compliance frameworks, providing guidance on various initiatives, and driving ad hoc projects to strengthen the Company's financial reporting infrastructure.
- Conduct annual evaluations of process documentation, including risk control matrices, to ensure accuracy and effectiveness.
- Perform walkthroughs with partner firm contacts and assessing the design and implementation of internal controls for in-scope cycles.
- Design testing templates, lead annual control testing, conduct independent assessments, and perform peer reviews to validate control effectiveness.
- Develop and deliver SOX-related training programs across the organization to enhance compliance awareness.
- Continuously assess and refine key controls over financial reporting to improve efficiency and mitigate risks.
- Prepare high-impact presentations for senior leadership and stakeholders.
- Manage and optimize the use of SOX compliance software (AuditBoard) to support compliance activities.
- Build and maintain strong relationships with internal teams, external partners, and auditors to facilitate collaboration and alignment.
- Mentor and coach team members while upholding ethical standards, exercising sound judgment, and fostering a culture of continuous improvement.
Skills & Qualifications
- Bachelor's degree in Accounting or Finance required; Public accounting experience strongly preferred.
- 3-7 years of experience in internal or external auditing, SOX compliance, or related areas; experience in financial services or manufacturing is a plus.
- CPA, CA, CIA, CISA, CFE, and/or MBA certifications are highly desirable.
- Strong knowledge of the COSO framework, Sarbanes-Oxley Act (Sections 302 & 404), financial reporting risks, internal controls, US GAAP, and IFRS, with the ability to recommend effective control measures.
- Solid technical accounting skills and proficiency in relevant software; familiarity with GRC tools is a plus.
- Exceptional analytical reasoning, problem-solving, and business acumen, with the ability to assess and mitigate risks in a dynamic environment.
- Strong communication skills (both written and verbal), capable of conveying complex SOX issues clearly and influencing change at senior management levels.
- Strategic thinker with a proactive approach to identifying and addressing compliance challenges.
- Professional demeanor with the ability to build credibility and foster strong relationships with internal and external stakeholders.
About Focus Financial Partners
Focus is a leading partnership of fiduciary wealth management and related financial services firms. Focus provides access to best practices, greater resources, and continuity planning for its affiliated advisory firms, which serve individuals, families, employers, and institutions with comprehensive financial services. Focus firms and their clients benefit from the solutions, synergies, scale, economics, and best practices offered by Focus to achieve their business objectives. For more information about Focus, please visit www.focusfinancialpartners.com.
The annualized base pay range for this role is expected to be between $90k - 110k. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed, and the applicant's skill set. The base pay is just one component of the total compensation package for employees. Other rewards may include an annual cash bonus and a comprehensive benefits package.
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The Company
What We Do
Focus Financial Partners is a leading partnership of independent, fiduciary wealth management firms. Focus provides unrivaled access to best practices, resources, and continuity planning for its partner firms who serve individuals, families, employers and institutions with wealth management, benefit and investment consulting services. Focus partner firms maintain their operational independence, while they benefit from the synergies, scale, economics and best practices of the market leader to achieve their business objectives. For more information about Focus Financial Partners, please visit www.focusfinancialpartners.com.
