Director - SOX

PRIMARY RESPONSIBILITIES:

Stakeholder Focused:.

- Become a trusted advisor and go-to controls person for the business.

- Partnering with process owners to understand processes, risks, and controls.

One Team / One Voice:

- Be a key leader influencing team culture and engagement.

- Be an accountable player, driving operational excellence and productivity by executing SOX activities with the wider SOX team.

- Commit to clear, concise, and consistent reporting of status and results, from transition plans to weekly dashboards.

SOX Preparation:

- Be responsible for SOX tool readiness and updates for the respective portfolio.

- Ensure control language, IPEs, and test steps are up to date prior to launching new control.

- Prepare a tracker for testing of the respective control for upload to the SOX tool.

- Assist in setting testing milestones in line with the central testing plan and manage timelines accordingly.

- Ensure control dependencies are properly identified and tested for the period being tested.

- Continuously monitor process changes and maintain new control attestations when required.

SOX Testing:

- Send data requests to process owners and track receipt of IPE, following up where necessary.

- Coordinate with Senior Lead and Other Portfolio Team Leads on the status of any cross-referenced controls in their own control test steps and ensure the referenced control was tested for reliance.

- Apply audit methodology and standards to all assigned audits.

- Review testers' workpapers and SOX repository details for their respective controls prior to submitting to External Auditor and concur with testers' conclusion on control testing and/or remediation testing.

- Review External Auditors' comments and communicate/discuss responses with the External Auditor.

- Monitor sampling reset for new control attestation and/or deficiency testing.

SOX Reporting:

- Report control assessment status and follow up on IPE with the Process Owner (PO).

- Escalate bottlenecks where necessary to the Portfolio Senior Lead.

- Meeting all testing deadlines.

SOX Deficiencies:

- Review and evaluate potential deficiencies (Management, SOX, External Audit, Enterprise Relationship Management, Internal Audit) with testers and PO once identified.

- Engage and report issues to Portfolio Senior Lead and SOX Office in a timely manner to assist in evaluation.

- Obtaining the completed AGM finding evaluation template from PO.

- Track remediations, including management status and SOX testing to close.

SOX Tool Updates:

- Propose changes to the SOX tool based on discussion and agreement with PO.

- Go through the change management process (Approved by Senior Lead).

- Review changes made in the SOX tool to ensure accuracy and completeness.

QUALIFICATIONS AND EXPERIENCE: (Academic, Professional, Experience).

- To perform the job successfully, an individual should demonstrate the following competencies to perform the essential functions of this position:.

- A minimum of 15 years' experience in Controls and Sarbanes Oxley 404, COSO, Information Produced by Entity.

- Previous experience in Big 4 or Investment management industry in Asset Management engagements (i.e , Private Equity, Funds and Valuation engagements), insurance industry experience would be a plus.

- Qualified Chartered Accountant or BS/BA degree in Accounting/Finance.

- CPA/MBA/CSOE certification preferred.

- Strong people and stakeholder management skills with a collaborative approach and ability to influence.

- A proactive approach to business, with the ability to make a quick response to issues.

- Solid project management and planning capabilities, ability to drive and guide the transformation agenda.

- Proven experience in leading and delivering complex global initiatives.

- Proficient in Microsoft Excel, Visio and PowerPoint; experience in GRC ToolsArcher a plus (preferred).

- A forward thinking, creative individual with high ethical standards.

- Detailed oriented with the ability to manage multiple priorities and meet timely deliverables.

- Comfortable operating both in a team environment and independently.

- Strong analytical and problem-solving skills.

- Strong written and oral communication skills and presence capabilities.

- Ability to develop strong relationships and effectively communicate and influence at all levels.