SOX Audit Team Lead

Overview

The SOX Financial Audit Team Lead will independently manage and execute Sarbanes‑Oxley Act of 2002 (SOX) compliance test work, ensuring effectiveness of internal controls over financial reporting (ICFR), and providing indirect leadership to a team of SOX financial auditors.

• Independently perform walkthroughs, test the design, and test of operating effectiveness for internal controls related to financial reporting in compliance with SOX 404.
• Build subject matter expertise in assigned disciplines, including a detailed understanding of financial reporting impact.
• Contribute to planning and execution of the SOX test plan, ensuring proper scoping, risk‑based testing, and timely completion of annual test work.
• Prepare clear and concise documentation within work papers for testing results, control deficiencies identified, and recommendations for remediation.
• Present findings to management with recommended remediation action plans.
• Assist and contribute to enhancement of SOX testing methodologies and processes to improve efficiency and ensure robustness of the control environment.
• Independently conduct risk assessments of financial reporting processes and identify areas of improvement in internal controls.
• Act as an indirect supervisor to junior team members, reviewing work papers for accuracy and completeness.
• Provide guidance and support to junior team members to develop skills in SOX compliance, SOX testing procedures, and overall bank policies.
• Evaluate the design and effectiveness of internal controls, ensuring alignment with bank policies, industry standards, and regulatory requirements.
• Communicate effectively with cross‑functional teams to assess control design and operational effectiveness.
• Work closely with finance, related businesses, and both internal and external audit teams to facilitate the SOX compliance process and ensure timely resolution of control issues.
• Assist in coordinating with external auditors during the annual audit process, providing documentation and supporting evidence related to SOX compliance and financial reporting controls in a timely manner.
• Understand and adhere to SOX team timelines and deliverables.
• Identify risk‑related issues needing escalation to management.
• Manage or assist in special projects related to SOX compliance and team process improvements, as needed.
• Participate in training and development opportunities across finance and the bank.
• Adhere to the company’s risk and regulatory standards, policies and controls in accordance with the company’s risk appetite.
• Maintain internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.
• Complete other related duties as assigned.
• Supervisory/Managerial Responsibilities:
  Indirect supervisory responsibilities, including mentoring junior team members.

• Bachelor’s degree and 5 years of experience or Associate’s degree and 7 years of experience in finance, accounting, auditing, or a related field.
• Understanding of SOX 404 requirements, financial reporting processes, and internal control frameworks (COSO).
• Experience conducting detailed testing of financial controls, financial reporting processes, and risk assessments.
• High attention to detail for testing controls, documenting findings, and preparing reports.
• Strong verbal and written communication skills.
• Ability to mentor and coach junior team members, fostering team development.

• Bachelor’s degree in Finance, Accounting, Auditing, or a related field.
• Advanced degree or professional certification (CPA, CFA, etc.).
• CPA – Certified Public Accountant.
• CFA – Certified Financial Analyst.

Salary Range: $89,600.00 – $ Annual (USD).

Buffalo, New York, United States of America.

M&T Bank is unwavering when it comes to providing equal employment opportunities to all employees and applicants without regard to race, color, national origin, religion, ethnicity, sex, gender identity, age, disability, citizenship, pregnancy, veteran status, military status, marital status, sexual orientation, genetic information or any other characteristic protected under applicable federal, state or local laws.

M&T Bank Corporation has policies and procedures in place to promote a drug‑free workplace.