Senior Auditor, Corporate SOX

Duties:

Serves as a subject matter expert for MAR/SOX compliance programs to support the Model Audit Rule Department (MAR/SOX) in the compliance effort that results in annual reporting to the Department of Insurance. Evaluates internal control structures and policies and procedures that may include, but are not limited to financial records, operational processes and/or computer operations. Completes risk assessments, reviews controls and risk mitigation, and documents the risks, controls, and the method by which they should be tested for operational effectiveness.

• 40% Based on the output from the risk assessment, evaluates processes that impact each 'in-scope' financial statement line item and performs control documentation activities, including operational, financial, Entity Level and I/S processes.

Determines applicable risks and mitigation through control activities. Ensures that risks are appropriately addressed based on

COSO/COBIT/MAR

guidance. Identifies remediation needed for any unmitigated risks and communicates with management. Makes recommendations on remediation design and uses project processes to ensure remediation is made. Prepares and maintains clear, detailed, accurate SOX documentation, including process diagrams, control descriptions, risk control matrices, test plans and test results evaluations.

• 20% Serves as a subject matter expert for MAR/SOX compliance programs and continuously seeks to improve effectiveness and efficiency of the processes/tools utilized to ensure compliance.

This includes training, developing, and providing assistance to business areas, audit staff members and MAR/SOX team members in preparing MAR/SOX documentation and conducting testing. Assists internal and external auditors (including the Department of Insurance), with an emphasis on leveraging MAR/SOX work to reduce duplication of efforts and the burden on management throughout the organization.

• 15% Prepares written audit reports to communicate findings and recommendations to MAR/SOX Steering and Executive committees, and the Department of Insurance.
• 10% Participates in the risk assessment process for each company required to be in compliance with the MAR/SOX based on a top down risk based approach.
• 5% Completes entity level control evaluation and testing consistent with COSO principals, the NAIC Model Audit Rule and Sarbanes-Oxley Act. Makes recommendations on remediation design and uses project process to ensure remediation is made.
• 5% Performs peer review of documents (Narrative, Risk Control Matrices, Test Plans, Test Work papers, remediations, etc.) prepared by peers to ensure departmental standards are met. Works with peers to ensure improvement opportunities are adequately addressed.
• 5% Performs project work as directed by management team.

Projects will be focused on improving quality and efficiency of MAR team functions.

Skills Required Skills and Abilities:

Knowledge of effective auditing, general accounting standards, and work paper documentation. Strong interpersonal , oral and written communication skills. Excellent planning and organizational skills. Knowledge of relevant computer support systems. Strong analytical skills. Ability to perform within tight deadlines and prioritise effectively.

Required Software and Tools:

Microsoft Office.

Education Required Education:

Bachelor's degree - Accounting, Computer Science, Business Administration, Information Systems, Finance, or other job related field.

Required Work Experience:

7 years auditing, Information Systems, Sarbanes-Oxley/MAR, compliance or accounting/financial reporting experience