SOX Analyst Job Description

SOX Analyst Job Description

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SOX analyst provides subject matter expertise to the extension of the COSO 2013 Integrated Control Framework to US regulatory reporting, asset reporting and CCAR.

SOX Analyst Duties & Responsibilities

To write an effective SOX analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included SOX analyst job description templates that you can modify and use.

Sample responsibilities for this position include:

Complete all work papers in accordance with SOX Corporate Office guidelines and best practices
Evaluation of current policies and procedures across the organization
Periodically spot-check for SOX compliance and potential risks
Provide back-up support to Sr
Create and maintain internal control documentation
Incumbent interacts with own team members up to GM level, various levels of management up to and including CEO/CFO levels in the execution of the IC and SOx duties
The scope of this position is expected to be primarily with ArcelorMittal USA, and based on experience and aptitude gained over time may include work on occasion with entities anywhere in the Americas and/or Europe
This is a professional position and on occasion may require work outside of normal hours and/or travel outside of normal business hours in order to meet short deadlines, or to accommodate internal control process owners' deadlines, and/or to maximize time on-site in remote locations
This is an experienced level position, and incumbents will be expected to be self-motivated to independently complete projects and assignments on time with little supervision
Identify and document breaks in operating effectiveness

SOX Analyst Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for SOX Analyst

List any licenses or certifications required by the position: CPA, CISA, CIA, SOX, ICFR, HANA, S4, SAP, QSA, ISA

Education for SOX Analyst

Typically a job would require a certain level of education.

Employers hiring for the SOX analyst job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Accounting, Finance, Business, Information Systems, Computer Science, Information Technology, Business/Administration, Education, Management Information Systems, MBA

Skills for SOX Analyst

Desired skills for SOX analyst include:

SOX Compliance
COSO Framework and US GAAP
SEC standards
U.S. GAAP
COSO 2013 control framework
Experience with the Sarbanes-Oxley Act of 2002
Familiarity with internal control concepts
Internal controls over financial reporting
Practices
Procedures

Desired experience for SOX analyst includes:

Assist with local physical fixed asset audits
Train end users, super users, and finance stakeholders on AMS
Performs reporting, reconciliations, and ad hoc analysis as needed
Work actively with the Technology Control Managers (TCM) on the guidance and assist in developing remediation plans
Complete assigned tasks in accordance with annual SOX and Audit reporting schedules
Perform Quality Assurance reviews of SOX Working papers

SOX Analyst Examples

1

SOX Analyst Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of SOX analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for SOX analyst
  • Make recommendations to minimize risk and best comply with Sarbanes-Oxley standards
  • Performs business process walkthroughs and control owner interviews, and makes determinations/recommendations for the preparation and/or revision of SOX controls documentation
  • Participates in the ongoing development of new SOX business cycles and develops process narratives and designs controls where applicable
  • Identifies internal control gaps in business processes or systems, and makes determinations and/or recommendations to enhance internal controls and to achieve better process efficiencies
  • Provides feedback to control owners around internal controls, assessments, remediation and documentation
  • Contributes to the ongoing efforts to standardize, streamline and enhance existing SOX control documentation to meet increased regulatory requirements
  • Assists with annual and periodic risk assessments of the SOX program, and updates documentation appropriately, including third-party service provider assessments, SSAE16 report reviews, fraud risk assessments, key spreadsheet and IT report assessments
  • Acts as a liaison with control owners, internal auditors and external auditors where applicable
  • Ensure implementation of and compliance with FCR SOX methodology
  • Provide advice to the business throughout the SOX process to continually enhance internal controls
Qualifications for SOX analyst
  • Successful performance of IT SOX testing against in-scope applications
  • Perform quality assurance reviews to ensure compliance with corporate guidance
  • Facilitate interaction between the IT Risk, Audit, & SOX Technology Control teams
  • Partnering with IT teams to identify and correct control breaks
  • Ensuring test results are properly documented and issues are appropriately resolved
  • Accurate reporting on the state of the program to senior management and regulators
2

SOX Analyst Job Description

Job Description Example
Our innovative and growing company is looking for a SOX analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for SOX analyst
  • Assist with ongoing training to business functions with respect to internal controls and SOX compliance
  • Develop relationships with SOX Coordinators, in- and external auditors, and highlight best practices
  • Contribute to the documentation and evaluation of control deficiencies
  • Demonstrate knowledge of key guidance
  • Participate on an as-needed basis for walkthroughs of key processes and controls to assess the design of key controls over financial reporting
  • Prepare high quality, well-organized SOX deliverables, including narratives, flowcharts, walkthroughs, test work, exception templates and process improvement recommendations
  • Provide SOX and client management with progress reports on a continuing basis
  • Include client personnel in the exception verification process and in the formulation of control weakness solutions
  • Participate in planning meetings and share prior testing experience through personal example and explanation to increase testing efficiency and improve the quality of testing results
  • Coordinate testing of internal control over financial reporting with AIG Internal Audit and external auditors to share results and create efficiencies
Qualifications for SOX analyst
  • Three to five years of internal/external audit or internal control testing experience
  • One year of Sarbanes Oxley experience
  • Experience using or auditing financial reporting applications
  • Ability to speak French, Portuguese, or Spanish
  • Manage level one escalations for the fixed assets operations team
  • Ensure asset management database is maintained and serving as single source of truth
3

SOX Analyst Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of SOX analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for SOX analyst
  • Participate in planning meetings and share prior testing experience
  • Coordinate testing of internal control over financial reporting with Internal Audit and external auditors to share results and create efficiencies
  • Efficiency in gathering information
  • Depth of understanding of issues encountered through testing, the associated risks and impact of those risks
  • Effective in managing and prioritizing execution of tasks
  • Assistance in the summarization and evaluation of results of testing, allowing senior management the ability to easily assess the company’s control environment over financial reporting
  • Strict adherence to established timelines and budgets
  • Clarity and robustness of analytical support and arguments
  • Evidence of interest in improving, progressing, learning and advancing professionally
  • Strong working relationship with internal and external audit groups
Qualifications for SOX analyst
  • Analyze and review the fixed asset reserve
  • Partnering with the Risk Management team to ensure alignment of the IT Risk, SOX and Audit programs with the larger business program and goals
  • Minimally three years of SOX experience from an audit or compliance perspective
  • Straight public accounting background is perfectly acceptable as is a fully private background with the appropriate SOX exposure
  • Experience is a financial services, banking, lending organization is preferred
  • CPA, CIA, CFE certification is a plus
4

SOX Analyst Job Description

Job Description Example
Our innovative and growing company is hiring for a SOX analyst. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for SOX analyst
  • Knowledgeable in use of development tools and procedures
  • Conduct and document audits of key internal controls (SOX 404) and key operational process
  • Work with process owners develop and implement practical solutions to address internal control deficiencies
  • Manage and collaborate with external partners (including consultants) in the company’s implementation and testing activities
  • Review externally prepared documentation/work papers as necessary
  • Perform other ad hoc projects per management request
  • Monitor segregation of duties reports to ensure management’s timely review
  • Reconcile commissionaire accruals back to supporting documentation
  • Prepare the supporting documentation received from LRD and Commissionaire (E&O and Bad debt provisions) to be reviewed by the BC
  • Execute and control the AR audit reports for the Commissionaire including customer creation/changes, credit limits, credit & debit notes, Price audit reports
Qualifications for SOX analyst
  • Sound working knowledge of the SEC’s Interpretive guidance, AS5, COBIT 5, GAIT, PCAOB Alerts and the COSO 2013 framework
  • Professional certification such as CPA, CIA, CRMA and/or CFE
  • 3 years of work experience including SOX, audit, operations, process engineering or risk management
  • Working knowledge of regulatory requirements, and operational risk concepts
  • Information Technology Infrastructure Library (ITIL) or IT Service Management (ITSM) risk management experience
  • Knowledge of Bank Financial Applications
5

SOX Analyst Job Description

Job Description Example
Our company is growing rapidly and is looking for a SOX analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for SOX analyst
  • Assist with the quarterly SOX certification process with business process owners, aligning with SEC reporting timelines
  • Assist with the ongoing evaluation, testing, and enhancement of the SOX Program
  • Manage the SOX Program application
  • Provide support to the deficiency reporting and remediation process
  • Assist in the review of responses to control deficiencies to validate proper classification for evaluation
  • Responsible for coordinating and executing SOX related activities including maintaining an inventory of compliance related systems, evaluating and reporting on their security controls and supporting system/application remediation
  • Participate in process walkthroughs of coverage areas with business units and external audit staff, including monitoring of required follow-up
  • Monitor completion of remediation test plans
  • Support the Financial Assurance Team through effective administration of the controls database model containing risk & control matrices, work papers, and reporting functionality
  • Establish effective business relationships with all constituents of the Financial Assurance Team
Qualifications for SOX analyst
  • Advanced PC skills, including Excel, Access, and the ability to create macros, SQL scripts
  • Strong understanding of accounting and audit principles
  • Ability to develop a detailed understanding of the Company’s current and future the business model and underlying processes
  • Working technical knowledge of US GAAP, COSO and SOx requirements
  • Must be detailed oriented and have a self-motivated/proactive work style and ability to manage multiple priorities
  • Proficient in desktop applications (Excel, Word, Outlook, Visio, Powerpoint, Access)

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