Senior SOX Auditor
The Senior Auditor will work with SOX Compliance Manager to determine effectiveness and efficiency of control structure and operating processes, including recommendations for improvement in processes and controls. This position will primarily support the SOX compliance program.
- Review control process with control owners. Ensures tests addresses control objectives
- Ensures an understanding of the control and the test for that control are formally documented in process narratives and testing template
- Execute a test (and retest as needed) of the control using the sample size for the control
- Analyze test results for accuracy and for meeting the control objective
- Document the summary and detailed results of the test
- Engage in any retesting as needed in the event of an identified exception
- Conduct design effectiveness of Business Process controls (Walkthrough with client)
- Conduct Operating effectiveness of controls
- Understanding of Business Process cycles (Purchase to Payable; Revenue & Receivables; Financial Close; Payroll; Treasury. etc.).
- 5-7 years relevant SOX testing experience
Serve as a primary point of contact for SOX processes and systems across the organization.
- Assist in planning, scoping and risk assessment process, including collaboration with external auditors and business process owners.
- Lead end-to-end walkthroughs to identify risks, control gaps, and improvement opportunities.
- Design, execute and complete testing of the design and operating effectiveness of SOX business process and IT controls, including entity and process level controls, IT general and application controls, key reports, and SOC1 analyses.
- Improve SOX documentation and work papers (i.e. work with process owners to refine risk control matrix, improve process flows, refine / develop test procedures, propose control language and associated risks etc.).
- Evaluate audit findings and coordinate remediation of deficiencies.
- Assist in reporting of status and results to management
- Assist in evaluation of new processes, policies and systems to determine relevance to and impact on the SOX program, including assessing design of controls based on identified risks.
- Support the department’s audit plan and participate in operational audits, if required and as possible allowing for SOX schedule.
- Recognize different cultures and business practices in various locations and partner with the business process owners to recommend optimal business solutions to strengthen controls and increase efficiency.
- Must have working knowledge of U.S. Generally Accepted Accounting Principles, Generally Accepted Auditing Standards and Public Company Accounting Oversight Board Standards.
- Strong oral and written communication skills are essential.
- Should have prior experience in managing/testing SOX controls across processes.
- Prior exposure to NetSuite ERP will be an added advantage
- Ability to work effectively across time zones and geographies to maintain consistent internal audit quality on a world-wide basis.
- Ability to work along with other team members in a coordinated manner.
- A BS/BA degree in MIS or equivalent;
BCOM/MCOM or CA Intermediate