22 Sarbanes Oxley related Job Titles and Descriptions
with
well above the average (or amazing) compensation
Is
Sarbanes Oxley dead, a project from the past?
Absolutely not!
Sarbanes Oxley is becoming more important month after month in
this period of re-regulation.
I have spent a day with my team researching the Sarbanes Oxley and
the Basel ii markets, and I want to share some interesting
findings with you.
It is good to feel and understand better the demands of the
marketplace. We will discuss 22 Sarbanes
Oxley related Job Titles and Descriptions, posted during the
spring of 2009, in the middle of the market crisis.
I believe that you must do your own research. Don't believe me,
search! Look at the compensation packages that are offered. In
this newsletter we will focus on the job desription and the tasks
required.
The results will amaze you.
Try to answer the questions:
1. Is there a crisis for Sarbanes Oxley professionals?
2. How can I gain a personal competitive advantage in today's
marketplace?
3. Can I offer to the employers what they need? What should I add
to my CV?
4. How much money other professionals make - persons with my
knowledge and experience?
5. Are there hidden opportunities? Some great opportunities?
6. Do we do in our organization what others seem to do?
I always enjoy reading creative and unique
job titles and descriptions (example: Traffic Manager!!! at number
18). We will share some of them.
Lets start!
1. Manager of Financial Reporting
Location: Charlotte, NC
Total Compensation: $130K
- Base Salary: $110K
- Bonus / Commission: $20K
Successful, multi-national manufacturing company looking for a
Manager of Financial Reporting.
Primary responsibilities include:
Manage the company's external financial reporting processes,
including periodic filings with the SEC (10Q, 10K, etc.)
Manage company-wide activities to monitor and evaluate internal
controls over financial reporting (Sarbanes-Oxley)
Serve as a subject matter expert and executive advisor with
respect to accounting and financial reporting/disclosure issues (GAAP,
SEC, FASB, PCAOB, etc.)
Manage the quarterly review and annual audit processes
Support negotiation and review of key contracts to assure that
potential accounting, reporting and tax issues are identified and
addressed early
2. Director of IT - Security & Risk Compliance
Location: Clearwater, FL
Total Compensation: $135K - $145K
- Base Salary: $110K - $120K
- Bonus / Commission: 20%
Reports to: VP of IT
Provide leadership in the identification, testing, and reporting
on the functionality of controls identified for Sarbanes-Oxley
annual attestation(s), SAS70 certification, and ISO 27001 / 27002
certifications.
Manage overall HIPAA compliance initiatives
Bachelors degree or higher
Direct experience working with Auditors and Certifications
Specialist
COBIT/COSO/ITIL
3. Invesment Bank - Manager - SOX
Location: New York, NY
Total Compensation: $100K - $120K+
- Bonus / Commission: Competitive Bonus
Reports to: Business Controls Head
Large International Investment Bank Seeks a of Manager - SOX
1. Work on internal control projects aimed at SOX compliance in
the Americas; scoping, identification of monitoring controls, and
evaluating control effectiveness etc.
2. Develop relationships and regularly communicate with Business
unit & infrastructure management as well as Corporate ORM on the
Sarbanes Oxley compliance efforts.
3. Participate in the global scoping exercise to identify the
critical financial statement accounts and key processes in scope
for the Company, Regions and Business Units for annual SOX
compliance.
4. Stay abreast of Sarbanes Oxley regulatory changes and Promote
the understanding of Sarbanes Oxley as a regulation, and
communicate accountability for continuous monitoring, reporting
and management of the risk (including attestations), as well as
maintenance of the control environment.
5. Complete quality assurance reviews and develop standards for
the oversight of identifying / moving towards monitoring controls,
moving towards self-assessments, gap identification and
remediation, etc.
6. Develop and deploy internal training on SOX as a topic, and on
specific tools and activities.
Assist in ensuring that the business continues to follow a
risk-driven approach to self-assessments and key risk indicators
that broaden scope beyond SOX risks and controls, while
simultaneously leveraging management controls already in place.
Streamline SOX efforts in view of risks, and recent PCAOB guidance
allowing Co's to move towards leveraging monitoring controls
already in place at the organization.
· 5-10 years experience of SOX audit experience either from a
public accounting firm or similar major financial institution
· Four-year college degree or equivalent. CPA/MBA preferred but
not necessary
· Proven experience assessing and developing internal control
processes around SOX compliance guidelines
· Excellent communications skills required.
4. Sr. Director - Sarbanes Oxley Job
Location: New York, Manhattan
Salary Range: Up to 140k, Bonus
Sr. Director - Sarbanes Oxley (SOX) will facilitate and manage the
companies worldwide SOX initiate under the direction of the VP of
Operations and Internal Controls.
Coordinate efforts with 4 worldwide Internal Control Directors
responsible to:
a.Work with Tier 1 CFO to ensure
(1) all control documentation is current;
(2) remediation is complete; and
(3) readiness for testing
b.Execute and test a control self assessment program with Tier 2
and 3 locations
Complete SOX risk and scoping exercise
Manage development and approval of worldwide test / audit plan on
behalf of management
Liaison and assist internal audit to schedule and source the
annual test of effectiveness
Coordinate and / or review executed test plans / work papers to
analyze / categorize deficiencies
5. Director of Business Development (Sarbanes-Oxley Act)
Salary Information: $85K - $90K
Job Location: MN
Requirements:
- Must have extensive knowledge of legal ethical standards and
regulations (i.e. Sarbanes-Oxley Act)
- Familiarity with eLearning and onlne applications
- Familiarity with customer management software (i.e. Salesforce)
- Bachelor's degree
- 5-10+ years of sales or consulting experience
- Solid understanding of technical concepts and web applications
- Experience selling to higher levels within an organization: VP,
Director, etc.
6. Job Title: Sarbanes Oxley Business Analyst
Location: Indianapolis
Salary: $70K
A high growth division for one of the most recognizable
manufacturing names in the world, has an immediate need for a
Sarbanes Oxley professional.
In this role you will be responsible for partnering with
management to identify key business process and internal control
points to ensure SOX compliance.
You will develop, implement and test controls and regularly
evaluate the effectiveness of internal controls.
As a senior member of the SOX team, you will be counted on to
identify opportunities to streamline compliance activities and
make them a seamless part of operations.
This will be a highly visible position with tremendous upward
mobility within SOX and other areas of Audit or Finance.
7. IT Program Manager, Sarbanes Oxley and IT Audit
Location:Houston, TX
Acts as an internal Sarbanes Oxley IT (SOX-IT) consultant to the
Company.
Creates, updates and keeps current all SOX-IT documentation in the
Protiviti portal as well as in appropriate hardcopy locations.
Documents SOX-IT policies and procedures for all locations, and
ensures compatibility with business department policies and
procedures.
Provide direct training and oversight to all employees,
contractors, alliance, or other third parties with information
security clearance on the SOX-IT policies and procedures.
Initiate activities to create and imbed SOX-IT awareness
throughout the Company.
Manages the annual SOX-IT project, coordinating all work efforts
among UAFC Internal Audit, Protiviti, and Ernst & Young external
audit staff to ensure that project goals, deliverables and
milestones are accomplished.
Develops Microsoft Project-based project plans specifying project
phases tasks, deliverables, milestones, resources and task
duration.
Generates numerous project plan reports including Gantt charts,
project schedules, task lists and resource loading reports.
Identifies all annual SOX-IT project deliverables, milestones, and
required tasks
Coordinates activities of the SOX-IT audit team, including
monitoring of all change management and logical security weekly
audit work.
Ensures 100% compliance from all IT staff with policies and
procedures, and escalates exceptions to the Vice President/CSO-IT
and the CIO as needed.
Recommends and oversees IT-related remediations and process
improvements resulting from the performance of audit activities.
Prepares the final SOX-IT audit management response to ensure that
all findings and recommendations are addressed in a timely manner.
Manages activity within the Protiviti SOX portal relating to IT
activity.
Creates and maintains the annual SOX-IT calendar of events, and
coordinates activities with the Corporate SOX Committee.
Coordinates all activities with the quarterly logical security
recertification process to ensure compliance with IA, internal and
external audit findings and recommendations.
Assists in audit of the IT and Corporate disaster recovery plans
and other IT-related corporate initiatives as required.
Coordinates gathering of information and completion of all
documents to satisfy all internal and external audits (state
audits, third-party audits, government audits).
Acts as a personal liaison for all auditors and examiners from
these organizations.
Required Skills
Very strong knowledge of IT project management methods and
techniques.
Knowledge and experience in administration of Sarbanes Oxley
standards relating to Information Technology.
Knowledge and experience of various IT governance standards (CobiT,
COSO, ISO17799, ITIL, etc.).
Knowledge and use of Microsoft Project and other Microsoft Office
products.
Bachelor's degree (B. A.) from a four-year college or university;
8+ years in IT project management
2+ years in IT-SOX project management.
Professional association with Sarbanes-Oxley and other related
professional organizations
8. Senior Analyst - Sarbanes Oxley Compliance
Location: CA United States
Responsibility for the execution of the annual SOX compliance
process for respective business unit ("BU"):
Conduct assessment of control effectiveness for respective
Business unit ("BU")
Assist BU in documentation of controls, process flow documentation
and SOX narrative updates
Perform control "walkthroughs" with BU to assess control
effectiveness; perform and/or oversee/coordinate SOX testing
Meet with BU frequently to understand business, processes and
changes to control environment
Plan and execute the ongoing re-assessment of control design to
facilitate ongoing SOX effort; facilitate continuous reduction of
manual controls.
Provide support for key SOX stakeholders (control owners, IA, PWC
& senior management)
Oversight of Regulations AB compliance & controls for ABS
transactions
9. Director of Sarbanes-Oxley Compliance, Vice President
Location MA-Boston
The Director of Sarbanes Oxley Compliance will be highly regarded
with an excellent track record in his or her current environment.
The successful candidate must be a strong, decisive, results
oriented leader who can develop and manage relationships across
the company and with a wide variety of partners, based on teamwork
and knowledge.
The following details specific responsibilities for this critical
role.
" Preparing annual projects scoping analysis and project planning
that complies with SEC guidance.
" Preparing presentations/updates to the Corporate Controller for
meetings with the Examining and Audit Committee.
" Preparation of quarterly and annual SEC related certifications
including all work needed to support those representations.
" Coordinating with E&Y and Corporate Audit on SOX related items.
" Providing direction and guidance to senior members of the
Finance Network on SOX questions and issues.
" Interacting with and providing guidance and direction to the IT
Governance Group on SOX work.
" Attending SOX audit closing meetings with business area division
and area controller and division and area executives.
" Tracking and status reporting of all business area
documentation, testing and testing exceptions.
" Reviewing and classifying the severity of all operating
effectiveness testing exception.
" Staying current of evolving guidance from the PCAOB, SEC and the
Big 4 Accounting firms.
" Staying current with the reporting and accounting activities of
the State Street Finance Group.
" Staying current with the business operations of business units
and staff functions as they impact internal controls over
financial reporting.
" Directing communications and operations of the Sarbanes Oxley
PMO.
" Maintaining administration and content of the Open Pages
applications and all other documentation needed to satisfy SEC
guidelines.
10. Sarbanes Oxley Senior Business Analyst
Location: Indianapolis
Salary: $90K
Ideal candidate will have 7+ years of overall experience in
accounting with prior Big 4 public accounting experience
preferred.
A Bachelor's in Accounting is a must, and advanced degrees or
certifications are a definite plus.
You will have experience or exposure to manufacturing and have a
strong track record working with or in a Sarbanes-Oxley compliance
environment.
You will be an excellent communicator who is a self-starter that
works well either independently or as part of a larger group.
11. IT Audit / SOX / COSO / Internal Controls / Documentation
Location: New York
Base salary: $80K
A major Insurance company, is seeking a Sr. IT Audit/SOX
Specialist to join their team based in NYC.
Position Duties / Requirements:
· Document IT internal controls
· Strong knowledge of Sarbanes-Oxley and COSO standards
· 3+ years related IT Audit/SOX experience
· Bachelors degree in Accounting or Finance
· Public accounting experience is required
· CISA certification is preferred
12. Sarbanes Oxley Risk Analyst
Location: New York
Ideal candidate will have a minimum six plus year's SOX background
out of major CPA firm. MBA preferred but not required
Assist in ensuring that the business continues to follow a
risk-driven approach to self-assessments and key risk indicators
that broaden scope beyond SOX risks and controls, while
simultaneously leveraging management controls already in place.
Streamline SOX efforts in view of risks, and recent PCAOB guidance
allowing Co's to move towards leveraging monitoring controls
already in place at the organization
Assist in achieving SOX compliance relative to ensuring that
internal controls are present; scoping, identification of
monitoring controls, and evaluating control effectiveness etc.
Assist Relationship Managers focused on delivery of broader OR
framework, on an as needed basis, with a view to developing a
broader understanding of Operational Risks.
Develop strong working relationships and regularly communicate
with Business unit & infrastructure management as well as
Corporate ORM on the Sarbanes Oxley compliance efforts.
Participate in the global scoping exercise to identify the
critical financial statement accounts and key processes in scope
for the Company, Regions and Business Units for annual SOX
compliance.
Stay abreast of Sarbanes Oxley regulatory changes and Promote the
understanding of Sarbanes Oxley as a regulation, and communicate
accountability for continuous monitoring, reporting and management
of the risk (including attestations), as well as maintenance of
the control environment.
Complete quality assurance reviews and develop standards for the
oversight of identifying / moving towards monitoring controls,
moving towards self-assessments, gap identification and
remediation, etc.
13. Manager of Sarbanes-Oxley Compliance
State/Location: San Francisco, CA
Performs the annual planning and scoping for the 404-assessment
process in coordination with the Finance Department and Internal
Audit Department.
Works with management (Bank wide) to recommend and implement best
practice solutions, which enhance the internal control environment
and operational efficiency of the Bank.
Monitors change in business, process and systems to ensure timely
identification and assessment for 302 and 404 compliance.
Coordinates closely with cross-functional teams (Internal Audit,
Finance, Independent Asset Review, and Enterprise Risk Management
etc.) to ensure an efficient and a synergistic approach to overall
risk management and testing of internal controls.
Evaluates audit findings of internal and external auditors, bank
regulators and management to identify control deficiencies and
assist with their remediation.
Monitors and reports identified control design and effectiveness
deficiencies and drives the remediation efforts.
Provides on-going training to business units on internal controls
over financial reporting and related responsibilities.
Periodic reporting to senior management and executive management
(when required).
Support ongoing enhancements to the design and functionality of
the Bank's automated Risks and Controls monitoring software tool
(Paisley's Risk Navigator).
14. Sarbanes-Oxley Reporting Manager
Location: Boston, Massachusetts
§ Serve as a subject matter expert on the Sarbanes Oxley Act
(S-O), monitor changes in laws, regulations, interpretations, and
applicability to the Company.
Ensure that changes to the Act are fully incorporated and
implemented in applicable policies, procedures and practices
within required timeframes.
Respond to inquiries and research questions as needed.
§ Manage the day-to-day activities supporting the Company's S-O
compliance work including; coordinating with Affiliate Partners,
and the Parent Company's management team to maintain the policyIQ
(PIQ) database of documentation for risks, controls, and tests and
make sure it is current while confirming status of key controls
while also ensuring key controls are evaluated for design and
operating effectiveness on a quarterly basis and for year-end
reporting.
§ Confirm the status of key control testing performed at each
Affiliate Partner and the Parent Company's management team.
§ Coordinate the communication between management, internal audit
and the Company's external audit firm to minimize redundancy of
work and enhance audit coverage.
§ Work with the Parent Company's and Affiliate's Chief Financial
Officer to assist the Company's external audit firm to ensure
appropriate and timely access to information necessary for them to
complete their work.
§ Continue to develop, implement and manage S-O compliance
process. The sustaining process includes, but is not limited to,
the following:
o Perform the quarterly scope review of financial statements and
disclosure risks, controls and tests
o Monitor documentation maintenance by process owners
o Manage the ongoing identification of key controls
o Monitor and provide feedback on each of the Parent Company's and
Affiliate Partner's annual testing plan of key controls
o Supervise the implementation of management action plans to
address any control deficiencies.
§ Assist new, majority-owned Affiliate Partner with implementation
of S-O. Meet with Affiliate Partner management to review purpose
of S-O, provide PIQ training, develop an implementation plan for
documentation and testing key controls and confirm financial and
personnel resources. Leverage existing Affiliate Partner
documentation where appropriate.
§ Overseeing and ensuring that S-O issues are being remediated in
a timely and complete manner across the Company.
§ Prepare periodic status reports and report to Company's
management and the Audit Committee on the status of the Company's
compliance with S-O and any issues pertaining to successful
compliance with the Act.
§ Prepare periodic status reports and report to Affiliate Partner
Board of Directors or Audit Committee on the status of the
Company's compliance with S-O and any issues pertaining to
successful compliance with the Act, when applicable.
§ Monitoring changes in relevant laws, regulations and trends and
distribute related information in a timely manner to relevant
entities across the Company.
§ Leverage training opportunities to stay current with areas of
responsibility, share knowledge with team members and management,
and enhance value added service.
§ Develop and participate in 404 Compliance Training Programs as
needed.
§ Travel periodically to visit and work with each Affiliate
Partner on internal audit areas.
QUALIFICATIONS:
§ Prior work experience in banking/finance/public accounting with
S-O, internal control or internal audit a plus.
§ A college graduate, an MBA preferred; certifications in audit or
compliance a plus.
§ Experience with and a strong understanding of Section 404,
Internal Controls over Financial Reporting, rules (SEC and PCAOB).
§ Experience identifying risks associated with processes (risk
assessment), identifying internal controls within a process and
performing gap analysis to determine if one or more risks are not
mitigated / eliminated by one or more internal controls.
§ Excellent organization and project management skills and ability
to multi-task and prioritize competing priorities.
§ Solid technical skills in Word, Excel, Powerpoint and database
management.
15. Sr. Analyst - IT SOX
Documents internal controls under Sarbanes Oxley.
Designs procedures to test the controls
Tests internal controls under Sarbanes Oxley
Evaluates internal control deficiencies.
Proposes remediation to management.
Monitors implementation of remediation plans
Performs other projects for Sarbanes Oxley implementation as
required and assists in managing EmblemHealth's automated Sarbanes
Oxley compliance tool
Knowledge Skills & Abilities:
Technical expertise in Sarbanes Oxley compliance
Attention to detail
Ability to manage multiple tasks
16. IT Audit Manager
Location: Tennessee
IT Audit Manager to join the corporate office audit team.
This key team member will assist team management with
Sarbanes-Oxley compliance activities, internal audit projects, and
consulting activities related to Information Technology.
The successful candidate will have a Masters degree and seven to
ten years of progressive IT internal audit experience.
Certified Information Systems Auditor (CISA) strongly preferred.
17. Sarbanes Manager
Location: GA
$80k plus bonus
Audit experience and strong understanding of internal controls and
Sarbanes Oxley implementation preferred.
Manage staff responsible for the assessment of key controls
Provide subject matter expertise and remediation guidance to
process owners.
Develop and maintain data and process integrity audits, monitor
the controls and compliance across the organization, and provide
recommendations and reporting to all levels of management.
18. Traffic Manager
Location: Boston, Massachusetts
- Manage the station's inventory to help maximize revenue yield by
effective and proactive traffic management
- Work with sales management to shape pricing and availability and
manage demands
- Manage oversell, work logs, and scheduling
- Order Input
- Ensure Sarbanes Oxley guidelines and CBS Policies are adhered to
19. Information Security Analyst
Security Analyst with Expertise in Regulatory Compliance
Security Analyst needed for a large healthcare organization
This Fortune 100 company is seeking a seasoned Security Analyst to
effectively manage and execute multiple, enterprise level
program(s) in support of PCI-DSS, Sarbanes-Oxley, and other
applicable regulatory compliance efforts with no finding.
For this role, you will define and deliver to the agreed budget,
scope, and timelines.
You will Assess and implement compliance effort(s) as they
surround the Payment Card Industry Data Security Standard (PCI-DSS),
Sarbanes-Oxley, GLBA, and/or HIPPA.
You should have demonstrable experience working in an information
security consulting role with skills in identifying opportunity to
streamline and/or enhance current assessment methodology.
Experience should include working knowledge in PCI (Visa CISP,
MasterCard SDP, Discover DISC, Amex DSOP) and preferably one more
regulatory area including, but not limited to: ISO 17799/BS 7799,
Sarbanes-Oxley (SOX), GLBA, HIPPA. Business casual work
environment, class A office space, and excellent benefits!
Client requires Green Card or U.S. Citizenship for this position.
20. Sarbanes Oxley Compliance Auditor
Total Compensation: $70,000 - $80,000 annual salary
The associates in the job will be responsible to validate
documentation, perform walk-through and testing and evaluate the
results of both.
They will also be heavily involved in training associates on how
to perform their own self-assessments and testing.
The sites involved include plants, warehouses, retail stores and
corporate headquarters.
This person will work with all levels of associates from the Plant
Manager through a receiving associate as well as levels of
corporate management.
They will be responsible to perform management's testing for
Sarbanes-Oxley compliance in multiple plants, distribution
centers, retail stores and corporate headquarters.
Position Responsibilities
1. Help locations complete and evaluate the effectiveness of their
Sarbanes-Oxley documentation.
2. Perform quarterly testing at multiple locations throughout the
quarter.
3. Assist locations in re- mediating any Gaps found during
documentation, walk-through and testing processes.
4. Train associates to perform future documentation walk-through
and testing.
5. Evaluate and improve internal control processes.
6. Ensure compliance with Sarbanes-Oxley Section 404 requirements.
7. Accounting research (GAAP ) and project documentation for NAT
business initiatives
8. Select project management and SOX research training development
21. Corporate IT Auditor
Job Location: New York,New York
Required Skills: Relevant certification
Experience: 4 years
Job Length: Direct Placement
Travel Requirement: Not required
22. Manager Finance Compliance/Int Audit
Large, private healthcare company seeking Manager of Financial
Compliance for internal audit SOX responsibilities.
Required Skills for Manager Finance Compliance/Int Audit Job:
» HEALTHCARE INTERNAL AUDITOR
» SARBANES OXLEY
» CPA
» CFE
» INTERNAL AUDIT
NOTE 1: You can develop a checklist
with important Sarbanes Oxley related tasks from the above
detailed job descriptions.
NOTE 2: It is good to start learning
whatever you have read above and you do not know.
NOTE 3: Sarbanes Oxley knowledge and
experience will always be of paramount importance in risk and
compliance management.
Dear member,
Visit the website of our association
-
www.sarbanes-oxley-association.com
Write in your CV, resume, websites etc. that you are members of
the Sarbanes Oxley Compliance Professionals Association (SOXCPA).
Take advantage of the distance learning and online certification
program of our Association - at a cost that is unheard of:
www.sarbanes-oxley-association.com/Distance_Learning_and_Certification.htm
My best wishes,
George Lekatis
President of the Sarbanes Oxley Compliance Professionals
Association
General Manager, Compliance LLC
1200 G Street NW Suite 800, Washington DC 20005, USA
Tel: (202) 449-9750
Email:
lekatis@sarbanes-oxley-association.com
Web:
www.sarbanes-oxley-association.com
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