The SOX Senior Auditor will assess internal controls, perform SOX testing, and document key processes while working with management to ensure compliance and risk mitigation.
Company Description:As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals, and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.Group Description:The SOX Testing Unit of Internal Audit is the dedicated internal resource responsible for identifying and evaluating the effectiveness of the key controls presented by management as part of the Sarbanes Oxley (“SOX”) 404 certification processes. This position is an opportunity for experienced professionals to join a dynamic team to deliver value added services. As a member of AB’s SOX Testing Unit Internal Audit Department, experienced hires are expected to demonstrate proficiency in evaluating controls. This position offers exposure to all levels of management.The SOX Auditor will work as a member of the SOX testing team to perform effectiveness testing of key control activities to ensure compliance with control objectives and the effective operation of internal controls over financial reporting (ICOFR). They will assist in the continued refinement, timely completion, and ongoing maintenance of all SOX 404 documentation (process flows, narratives, and risk matrices). Specific Responsibilities Assist the SOX Audit Director in executing and overseeing the annual SOX 404 documentation and testing by the following means:Execute internal control testing in support of the SOX compliance program, including assessing risk, validating controls, and updating as required. Assess effectiveness of application controls and key reports relating to business processesCreate and execute test procedures and document test results in accordance with work paper guidelines. Prepare work papers to ensure consistency between test objectives, evidence obtained and test results. Keep management apprised of testing status and escalate exceptions / key issues for review. –Coordinate and / or participate in process walkthroughs with management (process owners) to review all existing key controls.Assist management in updating current process documentation over internal controls, and actively partner with management to ensure effective controls are in place to address key IT, business, and financial reporting risks. Maintain an effective and efficient planning, execution, and coordination of work between testing team and process owners across the organization.Advise management on effective control design, test results and related assessments supporting the firm’s compliance efforts.Continuously report SOX testing related progress and results to Senior SOX Auditor and SOX Audit DirectorEnsure that deliverables are completed in a timely and accurate fashion. Assist with special projects as needed.Develop and maintain a professional relationship with client personnel. Job Expectations: Keep current as to the development of relevant industry, regulatory, and corporate matters that may affect the SOX 404 scope and testing plans. Participate, as appropriate, in professional associationsWhat makes this role unique or interesting (if applicable)?
- Obtain a wholistic understanding of multiple technologies, systems and platforms utilized by AB.
- Exposure to AB’s top management and the ability to influence change and mitigate risk across the entire organization.
- Learn a variety of technologies in order to test and remediate risks associated with those technologies.
- A college degree.
- At least two years Audit, SOX PMO, and/or SOX Testing experience, preferably within the financial services industry.
- Excellent interpersonal and communication skills essential
- Ability to interact with senior and executive level management on a regular basis
- The flexibility to travel to other AB offices when necessary
- Professional certification preferred
Top Skills
Auditing
Financial Reporting
Internal Controls
Sox
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