Job Title : Sr. SOX & Corporate Audit
Job Description: The SOX and Corporate Audit Senior will be responsible for documenting and testing internal controls over financial reporting by following the Company's risk rationalization and adopted control assessment approach. and perform documentation and testing of Corporate Audits. This position interacts with internal and external auditors as well as process and control owners. This position will report to the SOX and Corporate Audit Manager.
Key activities include risk and control identification, development and maintenance of process flow charts and testing, organization and quality check for all compliance documentation requests, advising on the design and implementation of controls, mitigation of risk, and remediation of control deficiencies or design gaps. The SOX and Corporate Audit Senior must operate with integrity and adhere to the highest level of professional ethical standards.
ESSENTIAL JOB FUNCTIONS
? Plans and conducts independent internal audits and reviews in support of the Company's annual internal audit plan, including leading and participating in a wide variety of financial, operational, regulatory, and special reviews.
? Develops audit test programs for SOX and Corporate Audits and performs audit tests to evaluate the design and operating effectiveness of internal controls.
? Maintain a document repository for control documentation and compliance audit requests
? Schedule and facilitate process walk-throughs, create process flows, and identify relevant controls
? Participate in the development of control evidence expectations and First Line of Defense (FLOD) testing plans
? Work with stakeholders to remediate and close out identified deficiencies, within defined timeframes
? Provide timely updates on the status of testing to SOX and Corporate Audit Manager
? Prepares audit findings and recommendations that clearly communicate risks, in terms of impact to the business and root cause, and key audit issues
? Provides assistance and guidance to external auditors to ensure a timely and efficient completion of their audits.
FUNCTIONAL JOB COMPETENCIES
? Ability to comprehend, interpret, communicate, and assist management in meeting regulatory requirements
? Ability to organize, track, and evaluate documentation for compliance audit requests
? Ability to document, design, and test controls to ensure operational effectiveness and efficiency
? Understanding of the COSO framework (2013 version)
? Ability to work both independently and as part of a team with professionals at all levels throughout the Company
? Strong presentation and interpersonal skills
? Execution oriented individual with a strong work ethic and high degree of motivation
? Comfortable interacting with senior level management and other internal and external stakeholders
? Project management background with the ability to execute against a plan
? Self-starter who thrives in a dynamic environment and industry
EDUCATION / EXPERIENCE REQUIREMENTS
? 4 to 5 years of experience including public accounting and/or internal audit with Corporate Audits or financial audit experience / SOX 404 audit experience
? This position requires a Bachelor's Degree in Accounting or Finance.
? Certification including Certified Public Accountant (CPA), Chartered Accountant (CA) or Certified Internal Auditor (CIA) preferred BUT NOT REQUIRED.
? Good working knowledge of Adobe Acrobat, Microsoft Word, Excel, PowerPoint, Visio, and/or SharePoint a plus.
? Minimal travel within Texas may be required
? Prior mortgage servicing industry experience a plus. Will consider the equivalent combination of job experience & education that demonstrates the ability to perform the essential functions of this job.