Director of SOX Compliance

CLASSIFICATION

Exempt

REPORTS TO

Chief Accounting Officer DATE:

April 28, 2026 JOB

DESCRIPTION

Summary/Objective The Director of SOX Compliance is responsible for overseeing, administering, and continuously improving the Bank's Sarbanes-Oxley (SOX) compliance program in accordance with SOX Sections 404(a) and 404(b). This role partners closely with Finance, Accounting, Information Technology, Operations, Risk Management, and Internal Audit to ensure the design, implementation, testing, remediation, and certification of effective internal control over financial reporting (ICFR) for a publicly traded commercial bank. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Lead and administer the Bank's SOX 404(a) and 404(b) compliance program, including annual scoping, risk assessment, and control rationalization. Own the documentation, evaluation, and maintenance of internal controls over financial reporting, ensuring alignment with the COSO Internal Control - Integrated Framework. Coordinate and oversee management testing of SOX controls, including walkthroughs, design effectiveness, and operating effectiveness testing. Serve as the primary liaison with external auditors on SOX-related matters, including audit planning, testing approach, deficiency evaluation, and remediation validation. Identify, evaluate, and document control deficiencies; partner with control owners to develop, track, and validate timely remediation plans. Prepare SOX-related reporting and certifications in support of quarterly and annual SEC filings, including management's report on internal control over financial reporting. Provide advisory support to business and process owners on control design considerations for new products, systems implementations, regulatory changes, and process enhancements. Monitor changes in SOX, SEC, PCAOB, and COSO guidance and assess impacts to the Bank's ICFR framework. Promote a strong internal control culture by delivering training, guidance, and ongoing education to control owners and management. Other Duties Support internal and external audits beyond SOX, as requested, related to financial reporting controls and governance. Assist in responding to regulatory examinations as they relate to

ICFR, SOX

compliance, and financial reporting governance. Participate in enterprise-wide initiatives, system conversions, and finance transformation projects to ensure appropriate control integration. Other duties as assigned. Skills/Abilities Strong knowledge of SOX 404 requirements, ICFR concepts, and COSO framework. Working knowledge of SEC reporting requirements and PCAOB auditing standards. Proven ability to collaborate cross-functionally and influence without direct authority. Excellent analytical, organizational, and problem-solving skills with strong attention to detail. Effective written and verbal communication skills, including the ability to clearly document technical matters and present to senior management. Strong judgment, professional integrity, and commitment to high ethical standards. Advanced proficiency with control documentation tools, spreadsheets, and enterprise financial systems. Supervisory Responsibility This position does not have supervisory responsibilities. Work Environment This job operates in an office setting, the opportunity to telework is not available. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. Office environment with job duties conducted via telephone, face to face meetings, and on the computer. Physical Demands This position requires manual dexterity, the ability to lift files and open cabinets. This position requires bending, stooping or standing as necessary. Travel Limited local travel may be required for this position. Education and Experience Bachelor's degree (BA/BS) in Accounting or Finance required. Certified Public Accountant (CPA) designation preferred. Minimum of 8-12 years of progressive experience in public accounting, internal audit, SOX compliance, or financial controls within a public company or regulated financial institution. Demonstrated experience managing SOX 404(a) and 404(b) compliance programs for a publicly traded company. Experience working with external auditors and senior management in a highly regulated environment, preferably within banking or financial services. Equal Employment Opportunity/M/F/disability/protected veteran status Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.