Senior SOX Auditor- Internal Audit

Who We Are At Newrez, we bring big thinkers and caring doers together to make home happen. We're a team built on heart and hustle, united by a commitment to show up for our customers, our communities, and each other. We believe that when our people thrive, homeowners thrive

• and that's why we invest in your growth, wellbeing, and ability to make an impact.

Every day, we work to exceed the expectations of our residential mortgage borrowers and business partners through superior service, simple processes, and clear communication. We do this by empowering our employees, encouraging innovative solutions and recognizing great performance.

Primary Function:

The Senior SOX Auditor is a Senior Level Internal Auditor, responsible for completion of the annual Sarbanes-Oxley Act (SOX) planning, execution, and testing, in addition to reporting results to management. This responsibility includes assisting with the identification of risk, assisting in the development of the internal SOX audit scope, performing internal audit SOX procedures, and preparing internal audit SOX reports reflecting the results of the work performed. Work performed will include coverage of functional and operating units in both the Origination and Servicing centers for the Company.

Principal Duties:

Perform functional audits, procedural reviews, and compliance testing as directed by the Head of Internal Audit, Director of Internal Audit, and SOX Manager. Conduct compliance, financial, regulatory, and operational appropriate interviews to obtain an understanding of all auditable entities. Analyze and draw conclusions toward compliance, effectiveness, and efficiency of the SOX specific control environment, by preparing workpapers and audit reports that detail findings and recommendations. Document the results of audit work and applicable work papers in accordance with the audit departmental procedures. Evaluate and monitor established internal controls, policies, and procedures (both written and practiced) for adequate asset safeguards, control of risks, and compliance. Identify and complete non-standard procedures required to satisfy audit objectives based on field work or issues identified in the course of reviews. Examine general ledger entries for appropriate segregation and approval processes. Prepare written draft audit reports/memorandums to management detailing audits for management's review. Perform and document follow-up of auditee responses on prior audit and exam reports. Facilitate the documentation of all SOX remediation efforts as well as perform testing of remediation activities during and/or upon completion. Expand knowledge of all subsidiaries' departments through training programs, seminars, employee interaction, and publications. Continuously develop & expand internal audit skills as well as strengthen best practices. Assist external auditors and regulators with information compilation, retrieval, and reconciliations as directed by Internal Audit Management. Follow established policies and procedures throughout the company. Safeguard sensitive data and resources. Maintain strict confidentiality. Performs related duties as assigned by supervisor.

Education and Experience Requirements:

A BS/BA degree is required. 5+ years internal or external audit experience in the financial services industry (with a concentration in mortgage industry preferred). Working knowledge of SOX auditing attained through 2-5 years of progressive work experience with a focus on financial risk and SOX regulatory requirements. Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) preferred. Experience in performing multiple audit projects and working with varying levels of experience among team members.

Knowledge, Skill and Ability Requirements:

Understanding of internal control concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions. High level of accuracy and attention to details. Strong analytical, organizational, critical thinking, and problem-solving skills. Ability to work independently, with limited required direction and guidance—May include supervision of auditors on projects to follow sound internal control practices and to manage risks appropriately. Strong verbal and written communication skills, including the ability to interact and relate to personnel at all levels within the organization and to effectively support and defend unbiased findings to management. Capable of leading or facilitating meetings with Director level (and higher) attendees. Advanced knowledge of Microsoft Office (PowerPoint, Excel, Word, etc.). Demonstrate proficiency of the technical aspects of accounting and financial reporting, meeting strict audit deadlines, with minimal errors. Ability to work in and assist in the development of a collaborative team environment. Some travel required. While this description is intended to be an accurate reflection of the position's requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary.

Additional Information:

While this description is intended to be an accurate reflection of the position's requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary. All employees are required to have smart phones that meet Company security standards with the ability to install apps such as Microsoft Authenticator. Employment will be contingent on this requirement. Why Newrez We're a great place to work because we invest in what matters: your career, your community, your wellbeing, and your future. Our total rewards package is designed to support your whole self.

Company Benefits:

We offer benefits, programs, and perks that support you in every aspect of your life. Medical, dental, and vision insurance Health Savings Account with employer contribution 401(k) Retirement plan with employer match Paid Maternity Leave/Parental Bonding Leave/Caregiver Leave Adoption Assistance Tuition & Certification reimbursement Employee Mortgage Loan Program The Newrez Employee Emergency and Disaster Fund is a program to support our team members experiencing hardships

Newrez NOW:

Through Newrez NOW, our Corporate Social Responsibility program, you'll have opportunities to give back, lead, and make a difference. 1 company-paid Volunteer Time Off day (with over 40,000 volunteer hours contributed since our inception) Matching Gifts Program

• dollar-for-dollar up to $1,000 Access to grants, nonprofit resources, and volunteer opportunities More than $6,000,000 donated since 2020 1 in 5 employees participates in at least one Employee Resource Group (ERG) Equal Employment Opportunity We're proud to be an equal opportunity employer
• and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. Different makes us better. CA Privacy Policy CA Notice at Collection The right company in the right industry. In both good economic times and bad, people need homes
• and mortgages to buy them.

We help these people every day buy homes or refinance their current mortgage loans. In addition to offering an in-demand product, there are two things you should know about us: We value and reward entrepreneurial spirit, and we are growing. Few lenders are as innovative, as financially solid, as well managed and on track to become America's leading lender as the Newrez Family of Companies. We deliver products and services that turn prospects into delighted customers —providing abundant opportunity for the great people who work here. These competitive advantages set us apart, and they're why you can grow with us for the long term.