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Now viewing: SOX Manager, Capital Markets
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Taylor Root
SOX Manager, Capital Markets
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Job Description
SOX Manager, Capital Markets at Taylor Root SOX Manager, Capital Markets at Taylor Root in Harwood Heights, Illinois Posted in 1 day ago.
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full-time SOX Manager, Capital Markets Chicago, IL (On-site) Base salary: $224,000 to $245,000, plus a discretionary bonus Taylor Root is partnering with a global, publicly listed financial services firm on a search for a SOX Manager in Chicago. This seat owns the Sarbanes-Oxley controls program for the firm's Americas business. You will work alongside the SOX leadership team, serve as one of the main points of contact for the external auditors, and report program status and risks directly to senior management.
Responsibilities:
You will plan, execute and report on the annual SOX cycle across US areas, from risk assessment and control documentation through testing, deficiency assessment and remediation. You will maintain the control framework, including process narratives, flow maps, risk-control matrices and control owner assignments. You will lead design and operating effectiveness testing, performing testing yourself and reviewing the work of SOX team members. You will evaluate controls involving information used in controls, end-user computing and management review controls. You will coordinate IT application control testing and SOC 1 and SOC 2 report reviews with the technology team. You will manage the SOX relationship with the external auditors, including timelines and issue resolution. You will support management's SOX certification process and give executives clear reporting on status, key risks and remediation. You will help process owners take real ownership of their controls, and you will use AI tools to make the program more efficient. Qualifications 7+ years of SOX experience from internal audit, external audit, or an in-house SOX program Significant experience in financial services at a broker-dealer, an asset manager or a bank Know-how in SOX Sections 302 and 404 and PCAOB auditing standards CPA or a financial controls certification is preferred