Director SOX & Financial Controls

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In this role, you will be responsible for assisting in the development and execution of a Sarbanes-Oxley (SOX) 404 compliance program. This is a strategic role that will involve designing and implementing new controls and ensuring we maintain a robust and efficient internal control environment over financial reporting (ICFR) to safeguard company assets, prevent material misstatements, and support the CEO/CFO's certifications.

You will play a critical part in ensuring compliance with financial reporting regulations by performing thorough testing, process walkthroughs, and control assessments, updating and maintaining documentation in support of SOX Compliance. You will assist in the Bank's efforts to develop and uphold SOX compliance and ensure the Bank achieves and maintains the requisite level of accuracy and reliability throughout the end-to-end financial reporting process.

You will assist in the coordinating with the Bank's internal and external auditors and all lines of defense to maintain company-wide SOX compliance and uniformity in methodology, documentation, and testing standards. This position offers an excellent opportunity to collaborate with internal cross-functional stakeholders and contribute to designing and maintaining robust internal controls.

The ideal candidate will be detail-oriented, with communication and collaboration skills, and deep experience in SOX 404. Additionally, the candidate will possess a strong blend of quantitative acumen, business insight, and governance discipline, serving as a key liaison between finance, business units, and control partners.

• Conduct Test of Design and assist in the execution of process walkthroughs. This includes the review of Internal Controls over Financial Reporting, reviewing process narratives and process flows updating as needed, performing walkthroughs, and evaluating control effectiveness
• Assess and test entity-level controls such as governance, risk assessment, management review controls, and IT-dependent processes
• Partner closely with internal and external auditors to facilitate their reliance on Management's testing
• Advise first line process owners in the implementation of new controls, assessing control design, key vs. non-key control designation, as well as evaluate other key control attributes
• Identify and document key reports (IPE) used in the execution of Internal Controls over Financial Reporting
• Collaborate with internal audit, accounting teams, and process owners to ensure audit readiness and timely completion of SOX testing requirements
• Assist in the implementation of a GRC solution for management of Internal Controls over Financial Reporting and associated SOX-required documentation

Education & Experience:

• Bachelor's degree in Accounting or Finance is required.
• Six (6)+ years' experience in audit, accounting, or business controls is required.
• Audit experience is preferred.

Knowledge, Skills and Capabilities:

• Proven expertise in Sarbanes-Oxley (SOX) compliance and control testing
• Proven knowledge of SOX Section 404 requirements, the COSO Framework, and PCAOB auditing standards
• Experience building a SOX environment and ability to tailor to the Company's size and needs
• Strong knowledge of internal audit processes and financial reporting controls
• Experience conducting walkthroughs and evaluating internal controls for effectiveness
• Familiarity with entity-level controls, including governance and IT-related processes and SOC 1's
• Ability to identify control deficiencies, assess their impact, and recommend appropriate solutions
• Excellent documentation and communication skills for reporting findings and collaborating with stakeholders
• Strong organizational skills and the ability to meet deadlines in a dynamic environment

Compliance with Laws & Regulations:

• Responsible for complying with all the Bank's internal control policies and procedures.
• Responsible for understanding and complying with all laws and regulations to which the Bank is subject.
• Responsible for communicating problems in operations, noncompliance with the code of conduct, noncompliance with laws and regulations, policy violations, or illegal acts.

Work Environment/Physical Demands:

• This position is hybrid. If hybrid, the position requires employees to be on-site approximately 3 days per week. Flexibility can be discussed based on team needs.
• Work is in an office environment, sustained posture in a seated position for prolonged periods of time; works with computer equipment for prolonged periods of time.
• Some stress may occur
• Travel is generally not required

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