Job Description: SOX Compliance Manager
We are seeking a dedicated professional to manage, design, execute, and enhance our Sarbanes-Oxley (SOX) compliance program. You will lead end-to-end SOX cycles, oversee the annual testing plan, and partner with leaders across Finance, Operations, and Technology to ensure robust internal controls, drive process efficiency, and ensure seamless coordination with external auditors.
Position Details
Department: Internal Audit / Finance
Position Type: Full-time
Location: Uniondale, NY. (Possible travel to NJ, CO, CA?)
Reports to: ___________________________________________________
Qualifications & Skills
- Experience: 5+ years of experience in internal audit, public accounting, or SOX compliance management. Bachelor’s degree in Accounting, Finance, or a related field (CPA, CIA, or CISA certification preferred).
- Technical Expertise: Strong technical understanding of SOX Section 404 requirements, the COSO framework, US GAAP, and PCAOB standards.
- Leadership Skills: Proven ability to lead end-to-end SOX cycles, including risk assessments and controls documentation.
- IT Controls: Proven experience collaborating with IT teams on IT General Controls (ITGCs), application controls, and technology-dependent processes.
- Communication: Exceptional relationship-building skills with the ability to influence and guide cross-functional process owners.
- Cross-Functional Partnering: Ability to partner with Finance, Operations, and Technology leaders to evaluate and remediate control deficiencies.
Key Responsibilities
- Program Oversight & Management: Oversee and execute the annual SOX testing plan while coordinating directly with external auditors. Lead the end-to-end SOX compliance lifecycle, including annual scoping, risk assessments, and controls documentation.
- Matrix Maintenance: Maintain and enhance the Risk and Control Matrix (RCM) for key business processes, ITGCs, and application controls. Test ITGC domains including logical access, change management, program development, and data center operations. Validate automated system configurations, interface controls, and Key Reports (Information Produced by Entity - IPE).
- Risk Assessments: Conduct and refresh annual risk assessments in alignment with the COSO framework.
- Deficiency Remediation: Partner with cross-functional leaders to evaluate control deficiencies and develop effective mitigation strategies. Evaluate control deficiencies, collaborate with management to formulate remediation plans, and monitor re-testing.
- Control Evaluation: Review control design and testing effectiveness to ensure long-term scalability and operational soundness. Identify redundant controls to streamline the framework and enhance control language clarity.
- Liaison Duties: Serve as the primary liaison for process owners to interpret control issues and develop effective mitigation strategies. Coordinate the reliance strategy to optimize the external audit budget and minimize business disruption. Serve as the primary point of contact for external auditors to facilitate information requests and PBC (Provided by Client) logistics.
- Process Improvement: Drive continuous improvement by integrating technology tools into control documentation and reporting workflows. Conduct annual process walkthroughs with control owners to document end-to-end workflows and identify gaps.
We are seeking a professional to manage, design, execute, and enhance our SOX compliance program
Strong technical understanding of SOX 404 requirements, COSO, US GAAP, and PCAOB standards
Proven ability to lead end-to-end SOX cycles, including risk assessments and controls documentation
Experience collaborating with IT teams on technology-dependent controls and information technology general controls
Oversee and execute the annual SOX testing plan, coordinating with external auditors
Maintain and enhance the Risk and Control Matrix (RCM) for key business processes, ITGCs, and application controls
Conduct and refresh annual risk assessments consistent with the COSO framework
Partner with Finance, Operations, and Technology leaders to evaluate and remediate control deficiencies
Review control design and testing effectiveness for scalability and operational soundness
Serve as the main liaison for process owners to interpret control issues and develop mitigation strategies
Drive continuous improvement by integrating technology tools into control documentation and reporting workflows
Skills Required
- 5+ years experience in internal audit, public accounting, or SOX compliance management.
- Bachelor's degree in Accounting, Finance, or related field.
- CPA, CIA, or CISA certification.
- Strong technical understanding of SOX Section 404 requirements.
- Knowledge of the COSO framework, US GAAP, and PCAOB standards.
- Proven ability to lead end-to-end SOX cycles, including risk assessments and controls documentation.
- Experience collaborating with IT teams on ITGCs, application controls, and technology-dependent processes.
- Strong communication and relationship-building skills to influence cross-functional process owners.
What We Do
First Eagle is an independent investment management firm that manages approximately $149* billion in assets (as of 09/30/24) on behalf of institutional and individual clients. With the core purpose of providing prudent stewardship of client assets, the firm focuses on active, fundamental and benchmark-agnostic investing, with a strong focus on downside mitigation. First Eagle’s investment capabilities include equity, fixed income and multi-asset strategies. With a heritage dating back to 1864, First Eagle has helped its clients avoid permanent impairment of capital and earn attractive returns through widely varied economic cycles—a tradition that is central to its mission today. Past performance is not a guarantee or indicator of future results. First Eagle Investments is the brand name for First Eagle Investment Management, LLC and its subsidiary investment advisers. *The total AUM represents the combined AUM of (i) First Eagle Investment Management, LLC, (ii) its subsidiary investment advisers, First Eagle Separate Account Management, LLC, First Eagle Alternative Credit (“FEAC”) and Napier Park Global Capital (“Napier Park”), and (iii) Regatta Loan Management LLC, an advisory affiliate of Napier Park. The total AUM includes $0.9 billion of committed and other non-fee-paying capital from FEAC and $2.0 billion of committed and other non-fee-paying capital from Napier Park.
