Responsibilities:

📍Oversee the SOX testing program in accordance with professional standards, company policies, and regulatory requirements. This includes annual and ongoing scoping, controls testing to identify control gaps and deficiencies, and reporting of results related to SOX activities, as well as oversight of third-party consultants in the execution of these activities. 📍Manage and execute testing of IT General Controls and IT Application Controls for coverage over automated and IT-dependent Internal Controls over Financial Reporting (ICFR) processes. 📍Coordinate with external auditors on SOX testing, evidence collection and related efforts to align on control assessments and findings and maximize efficiency of the SOX program. 📍Contribute to and evaluate methods to streamline audit approaches, improve control testing activities, and enhance monitoring and reporting on ICFR and SOX activities. 📍Work closely with control owners and stakeholders to provide meaningful input on effective control design and implementation, and deficiency remediation, while maintaining the independence of the third line of defense. 📍Collaborate with management on an ongoing basis to facilitate timely remediation of control gaps and deficiencies through monitoring and reporting of remediation progress and effectiveness to Senior Management. 📍Facilitate the SOX risk assessment process, including the identification and scoping of SOX controls in coordination with the broader global Internal Audit risk assessment. 📍Develop and deliver reporting on SOX testing results, themes and trends and status of related activities to Senior Management and the Audit and Risk Committee. 📍Collaborate with internal functions and stakeholders on SOX walkthroughs, process documentation and control testing evidence and activities. 📍Communicate and educate stakeholders on standards for data integrity and overall documentation as required for Management Review Controls and Information Provided by the Entity to demonstrate data completeness, accuracy, and validation. 📍Drive the implementation of AuditBoard’s SoxHub to track and retain controls testing and remediation; as well as, develop and adopt automated testing, data analytics and/or the use of technology to optimize the SOX program.

Qualifications:

📍8+ years of financial services, fintech, or cryptocurrency internal audit, external audit, ICFR/SOX experience with increasing responsibility. 📍4+ years leading an audit team. 📍Prior experience managing and reporting on an ICFR/SOX testing program including risk assessment, scoping, control design and implementation, testing approach, deficiency evaluation, and remediation oversight. 📍Strong understanding of business process controls and IT Controls (IT General Controls and IT Application Controls). 📍Working knowledge of US GAAP, SOX 404 requirements, COSO framework, PCAOB auditing standards and relevant SOC reporting standards, as well as other procedures, laws, rules and regulations. 📍Ability to be flexible in a rapidly changing risk and regulatory environment and “roll up sleeves” when priorities or project scopes change.

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