SOX Compliance Analyst

Job Title: SOX Compliance Analyst

Reports to: VP, Corporate Controller

Department: Accounting

BASIC PURPOSE:

The Sarbanes-Oxley (SOX) Compliance Analyst is responsible for the executing of the Company's annual risk and assessment of financial controls process in compliance with Section 404 of the Sarbanes-Oxley Act of 2002. This role assists in ensuring management’s control documentation is adequate and complete, assists management in determining “key" controls to be tested, coordinates the testing of assigned significant processes and accounts by Internal Audit, assists in the evaluation of the design and operating effectiveness of internal financial controls and the assessment of deficiencies identified, monitors management’s implementation of corrective actions through remediation and provides periodic reporting of gaps to management in conjunction with Internal Audit. The ideal candidate will possess solid analytic and interpersonal skills and have experience in areas of SOX compliance, controls testing, IT accounting system knowledge, general ledger, fixed assets, accounts payable, account reconciliations, and other general accounting functions.

ESSENTIAL FUNCTIONS:

• Prepare the annual SOX 404 documentation, financial statement mapping, risk assessment and scoping process identifying significant locations, business units, transaction cycles and critical processes and accounts ensuring an adequate scope and testing of the Company’s financial statements based on criteria defined annually.

• Coordinate with management on SOX 404 process controls documentation updates and review process controls to ensure adequate design and identification of "key" controls for assigned critical processes and accounts.

• Prepare documentation for the completion of the annual SOX 404 plan and audit work performed by Internal Audit in compliance with required timelines.

• Implement changes to ensure compliance with COSO 2013 framework related to internal controls over financial reporting; example tasks will include identifying gaps in the organization's system of internal controls where controls and/or documentation may need to be added or improved.

• Prepare meetings with stakeholders for evaluation and testing of entity level controls, project controls, and analysis of review level controls.

• Ensure timely planning and preparation of process owners’ control documentation including Risk and Control Matrices, narratives, and flowcharts as required and review for adequate completion and identification of “key" controls in compliance with Company standards as applicable.

• Assist management in the completion of Entity Level Controls documentation and evaluation of “key" controls to develop an efficient and effective audit approach.

• Evaluate deficiencies reported in the operating effectiveness of "key” controls and the assessment of gaps, monitor management’s implementation of corrective actions and sustainability to ensure timely remediation.

• Liaise with the external auditors responding to any issues on a timely basis and coordinate requests with Internal Audit and management as required.

• Knowledge of AS5, AS 2201, and AS 2605 and the ability to integrate expectations from external auditors and PCAOB requirements as it relates to the internal audit function

• Participate in year-end audit preparation and quarterly reviews for SOX compliance and accounting.

• Review and recommend changes/process improvements to ITGC’s and utilize a working knowledge of IT accounting systems to facilitate best practices.

• Special projects/analyses which require extensive use of Excel / Word and the handling of large amounts of data manipulation and documentation requirements. Additional projects and tasks as assigned by accounting department leaders

Must be able to perform the essential functions of the job, with or without reasonable accommodation.

REPORTING RELATIONSHIPS:

• Reports to VP, Corporate Controller

• No direct reports.

QUALIFICATIONS:

• 4-year accounting degree required, CPA or CPA candidates preferred.

• 3+ years of general ledger accounting, external reporting, or internal audit experience with mid-to-large-size companies.

• Public Accounting experience and/or SOX Compliance experience required

• Thorough working knowledge of GAAP

• Advanced knowledge of Office 365 - Word and Excel (VLOOKUP formula generation and Pivot Table generation) as well as flowcharting standards.

• Experience with Oracle Cloud, Blackline, and Workiva preferred.

CRITICAL COMPETENCIES FOR SUCCESS:

Skills:

• Planning/Organization Skills – Prioritize and plan work activities effectively and efficiently; strong organization (including work papers skills) and communication.

• Interpersonal Skills – Work cooperatively and respectfully seeking to minimize bureaucratic behavior and achieve objectives.

• Problem Solving Skills – Demonstrate ability to analyze a problem through to resolution.

• Ownership – Demonstrate attention to detail, accuracy and thoroughness of tasks assigned; monitor work and provide quality output.

• Adaptability – Manage competing demands and changing priorities.

• Assists and develops other staff members by sharing knowledge and skills.

• Demonstrates initiative and attention to detail along with strong analytical skills.

Abilities:

• Ability to communicate clearly and professionally across a broad corporate landscape.

• Ability to work independently with minimal guidance but also a team player sharing project responsibilities.

• Ability to multi-task, prioritize and show flexibility as needed.

• Ability to work under deadline pressures while maintaining a positive work environment.

Behaviors:

• Demonstrate dependability, initiative, and accountability.

• Demonstrate company loyalty by supporting company goals and enforcement and modeling of company policies.

• Communicate and work in a respectful, supportive manner with all teammates

WORK CONDITIONS:

• Must possess comfort in learning, training, and engaging with others virtually through Microsoft Teams and Zoom