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Job Title: SOX Audit Analyst
Location: Mt Laurel, NJ (Hybrid)
Summary:
Reporting to the lead of the Technology Control Office (TCO), the successful candidate will be responsible for liaising with all SOX and risk partners (Global Control Office, External and Internal auditors, BISO as needed as well as TS/Platform teams) to oversee and facilitate the annual SOX audit program for the portfolios under the TCO purview. For their portfolio, the candidate accountability will be to effectively support the successful execution of the annual regulatory SOX audit.
Specific responsibilities include:
- Understand the process, mechanics and phases of this annual audit program and expectations from the audit partners in terms of control documentation, design and operating effectiveness evidence, tools used to issue evidence requests and collect audit evidence, timelines of the various phases of the program, and key program milestones.
- Coordinate the execution of all activities related to the annual SOX audit program for the TS/Platforms in scope, including but not limited to:
- Planning and scoping activities,
- Annual SOX questionnaires,
- Process & control documentation review/uplift,
- Process walkthroughs & design effectiveness testing, for all SOX ITGC, IT Automated/Enabled and DataFeed controls,
- Operating effectiveness testing, for all SOX ITGC, IT Automated/Enabled and DataFeed controls,
- Support walkthroughs, design effectiveness testing, and operating effectiveness testing for projects impacting SOX relevant applications or businesses,
- SOX finding management (lookback procedures, remediation planning with management, remediation execution oversight, remediation testing facilitation & oversight), and
- As needed engage in review of SOC & SPAR reports to support audit’s conclusions on effectiveness of those partners.
- As relevant, act as a challenger to the risk partners, the various audit partners, and/or the TS teams.
- Monitor, report on the over SOX audit program status, and escalate challenges to TS/Platform leadership and/or to the SOX program audit team.
Heitmeyer Consulting is an equal opportunity employer and we encourage all qualified candidates to apply. Qualified applicants will be considered without regard to minority status, gender, disability, veteran status or any other characteristic protected by law.