SOX Audit Program Manager

SOX Audit Program Manager at Simmons Bank in Little Rock, Arkansas, United States Job Description It's fun to work in a company where people truly BELIEVE in what they're doing! We're committed to bringing passion and customer focus to the business. Position Summary The SOX Audit Program Manager is responsible for planning, coordinating, and executing Internal Audit's independent testing of SOX and FDICIA internal controls over financial reporting. The position serves as the subject matter expert for

SOX/ICFR

within Internal Audit and provides technical oversight and review of audit work performed by other Internal Audit staff. This role does not design, own, or operate controls, nor does it perform management or first-line testing activities. The position operates exclusively within the third line of defense, providing independent assurance in accordance with the Internal Audit Charter, IIA Standards, and applicable regulatory expectations. The SOX Audit Program Manager works independently under minimal supervision, exercises significant professional judgment, and applies advanced technical and project management skills. The role includes project leadership and technical review responsibilities, but does not include direct people management, performance evaluations, or HR authority

Essential Duties and Responsibilities:

Lead the planning, coordination, and execution of Internal Audit's annual SOX 404 and FDICIA testing program, in accordance with the riskbased audit plan approved by audit leadership. Develop and maintain riskbased

SOX/FDICIA

audit programs, including scope determination, testing strategy, and timing of interim and yearend procedures. Conduct and oversee process walkthroughs for inscope financial reporting processes to obtain audit understanding and validate managementidentified controls. Evaluate the design and operating effectiveness of key internal controls over financial reporting, including sample selection, execution of test procedures, and documentation of results. Review SOX testing work performed by Internal Audit staff for technical accuracy, sufficiency of evidence, and adherence to Internal Audit and COSO standards. Coordinate SOXrelated audit activities across business units while maintaining independence and objectivity. Anticipate and identify potential control gaps, deficiencies, or emerging risks within financial reporting processes. Evaluate and classify control issues (control deficiencies, significant deficiencies, potential material weaknesses) and ensure findings are supported, clearly documented, and appropriately escalated. Communicate audit progress, issues, and results to the Director of Internal Audit and Chief Audit Executive. Prepare and review SOX audit reports, management issue writeups, and executivelevel summaries. Present SOX audit results and internal control assessments to senior management, as requested. Monitor and validate management's remediation plans and perform followup testing to confirm timely and effective issue resolution. Serve as the primary Internal Audit liaison with external auditors for

SOX/ICFR

matters, supporting reliance on Internal Audit work where appropriate. Ensure all SOX audit activities comply with applicable laws, regulations, professional standards, and Internal Audit policies, including completion of required compliance training. Maintain working knowledge of banking operations, accounting standards, regulatory guidance, and emerging

SOX/ICFR

best practices. Identify opportunities to improve SOX audit efficiency, methodology, documentation standards, and use of audit technology.

Other Responsibilities:

Pursues professional development opportunities, including external and internal training and professional association memberships and shares information gained with management. Pursues ongoing professional development through training, continuing education, and professional certifications. Shares technical knowledge and best practices with Internal Audit management and staff. Assumes responsibility for learning and applying new audit tools, systems, and technologies relevant to SOX and ICFR testing. Assists with special projects, regulatory requests, or other Internal Audit initiatives assigned by audit leadership. Performs other duties as assigned Career Track... For full info follow application link.

Equal Employment Opportunity Information:

Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications. Simmons First National Corporation and its subsidiaries are committed to Affirmative Action Programs consisting of results-oriented procedures to ensure equal employment opportunities. These programs require positive action in lieu of neutral non-discrimination and merit hiring/performance policies. To view full details and how to apply, or