SOX Auditor Job Description
SOX auditor
provides technical consultations to control owners and process owners on SOX compliance and LinkedIn’s internal control policies.
SOX Auditor Duties & Responsibilities
To write an effective SOX auditor job description, begin by listing detailed duties, responsibilities and expectations. We have included SOX auditor job description templates that you can modify and use.
Sample responsibilities for this position include:
Developing creative, practical, and cost-effective recommendations for process improvements or efficiency enhancements to company processes internal processes
Work with finance and accounting team to ensure that audit findings are resolved timely
Write narratives and prepare flowcharts documenting internal control processes and current procedures
Collaborate with process owners/ managers to ensure proper documentation of all significant processes
Apply and assess financial reporting impact based on knowledge of Accounting Principles (e.g., IFRS, GAAP)
Conduct asecurity focused IT risk assessment, identify potential weaknesses and create value added, relevant solutions thataddress internal control needs and business requirements without sacrificingefficiency
Examine internal control weaknesses and recommend best practices
Identify key controls and develop work programs for testing of these key controls
Perform and documents SOX walkthroughs and testing in accordance with the Company’s frameworks
Execute work programs to test operational effectiveness of key controls using a variety of approaches, including sampling, corroboration, observation, performance
SOX Auditor Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for SOX Auditor
List any licenses or certifications required by the position: CIA, CPA, CISA, CFE, CISM, CA, SOX, CISSP, CMA, CAMS
Education for SOX Auditor
Typically a job would require a certain level of education.
Employers hiring for the SOX auditor job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Accounting, Finance, Business, Education, Information Systems, Auditing, MBA, Business/Administration, Management Information Systems, Computer Science
Skills for SOX Auditor
Desired skills for SOX auditor include:
ERP systems
Processes
Risk management
Accounting
Analytical tools to analyze
Finance
IT frameworks
Ideas to identify trends and form valid conclusions
Information
Internal control
Desired experience for SOX auditor includes:
Summarize test results at the conclusion of testing and communicate to the process owners any control deficiencies and provide recommendations for remediation
Assist with the maintenance of consistency and quality in SOX compliance work across the organization
Stay apprised of all new SOX compliance guidelines and interpretations and new PCAOB requirements
Plan the scope of work and monitor progress on audit projects, ensuring quality audit work within defined time frames
Provide audit deliverables inclusive of, but not limited to, creating process flow documents, performing detailed test work, and summarizing results in work papers
Perform financial and operational audits under the direction of the Sr
SOX Auditor Examples
1
SOX Auditor Job Description
Job Description Example
Our innovative and growing company is hiring for a SOX auditor. 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 auditor
- Participates in the development and execution of test plans, and assists those that perform tests as needed
- Performs testing of internal controls in accordance with annual SOX audit plan
- Assists in documenting the company’s process flows, policies, and controls
- Provides input in scoping and planning the timing of the company’s SOX activities
- Coordinates SOX testing with other departments, locations, divisions, and external auditors, including senior management
- Prepares and submits reports on the results of SOX audit, recommending improvements in policies, procedures, and operations
- Communicates status of audit results to management
- Assisting in the identification of the controls
- Execute comprehensive audits as team leader
- Report findings to executive management
Qualifications for SOX auditor
- Audit GAAP basis financial statements of mutual funds, closed-end funds, exchange-traded funds, real estate management funds and investment management companies
- Utilize managerial, analytical, research and technical skills in order to perform an effective and efficient audit
- Complete audit deliverables within budget and time frame by effectively managing allocated associates and project resources
- Five (5) or more years of experience with SOX 404 compliance and internal controls evaluation that followed a controls framework, COSO, COBIT, ITIL,including all phases of IT audit planning, evaluation, documentation, testing and remediation
- Solid understanding of risks and controls audit concepts
- Ability to execute multiple assignments by required deadlines
2
SOX Auditor Job Description
Job Description Example
Our growing company is looking to fill the role of SOX auditor. 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 auditor
- Develop, implement, and maintain one or a combination of accounting systems
- Use accounting and financial procedures in resolving problems and preparing recommendations for management based on the financial results of programs
- Perform ad hoc duties as defined by management relating to financial administration, financial analysis and accounting
- Carries out activities that are large in scope, cross-functions and technically difficulty
- Liaise with process and control owners to update and maintain control-related documentation
- Ensure issues are effectively and timely addressed
- Conduct the preparation, planning and execution of organization wide IT SOX control tests for IT General Controls including change management, user access/security, and computer operations controls over key reports
- Routinely summarize and communicate to the effected control owners and IT management, control weaknesses identified during testing
- Design test Extreme’s manual and IT SOX controls as per the requirement of PCAOB and Company’s external auditors
- Test/design internal controls
Qualifications for SOX auditor
- Bachelor’s Degree 0 – 2 years of audit or related experience
- Current Internal Audit/Risk Review experience preferred
- Professional certification (CPA, CIA, ) or advanced degree required
- Prior experience auditing IT Systems (i.e., SAP, PeopleSoft, Oracle, UNIX, ) a plus
- Demonstratedproficiency of technology auditing control disciplines including thorough andgeneral knowledge in security, segregation of duties and relevantareas of technical specialization (application development, change management,or operations)
- Must have practical SOX testing experience (at least 3 years)
3
SOX Auditor Job Description
Job Description Example
Our company is growing rapidly and is looking for a SOX auditor. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for SOX auditor
- Acts as primary client liaison within Internal Audit for VPs / division heads
- Develop audit programs focusing on evaluating, testing, and improving key internal controls
- Verify accuracy of ledgers, statements, invoices, records, and asset accountability
- Audit complex transactions and operations
- Prepare time budgets and plans for completion of various audits assignments and key program steps
- Perform Operational and Fraud Audits as necessary for both plant and corporate departments
- Perform process reviews and analysis of internal controls
- Accurately document findings and key tasks performed providing support for audit positions and recommendations
- Perform Balance Sheet and Income Statement analytical reviews as required
- Prepare or revise audit programs as necessary to accomplish audit objectives
Qualifications for SOX auditor
- Minimum three years experience in Big Four advisory, assurance and/or auditing, including some supervisory experience
- Strong knowledge of risk assessment and familiarity with tools and techniques used to provide control and monitoring mechanisms
- 3+ years of audit-related experience
- Exposure to SAP or other large ERP financial systems a plus
- Thorough understanding of SOX requirements and operational/financial risk of a global manufacturing company preferred
- Knowledge of the Standards for the Professional Practice of Internal Auditing (Attribute, Performance, and Implementation)
4
SOX Auditor Job Description
Job Description Example
Our innovative and growing company is looking for a SOX auditor. 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 auditor
- Lead the validation of current state system processes
- Work with process owners on developing new controls to address business changes and new auditing and accounting standards
- Assist in development of new Policies and Procedures
- Document and discuss initial draft of internal audit findings with local management during fieldwork, gaining alignment and corrective actions on key issues
- Continually communicate progress of audit assignments
- Assist with investigations as required
- Perform Contract Audit Reviews as necessary
- Assist with Inventory observations at Plants, Freezers, Coolers, Feed Mills, Hatcheries
- Assist external auditors as necessary
- Review work of internal auditors and guest auditors
Qualifications for SOX auditor
- In-depth knowledge of COSO Internal Control Framework and Sarbanes-Oxley requirements
- Solid knowledge of IT audit methodologies and control frameworks of IT platforms, processes, systems and controls, including areas such as network security, logical access and change management
- Controls at an infrastructure and application level, databases and systems maintenance
- Proficient in Microsoft Applications and other relevant analytical tools
- Thorough knowledge of generally accepted auditing standards and compliance and substantive testing techniques including audit sampling methods
- Excellent verbal and written communication skills with ability to interact effectively with all levels of management
5
SOX Auditor Job Description
Job Description Example
Our company is looking to fill the role of SOX auditor. 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 auditor
- Creates test plans based on information obtained within the BU Narratives and Control Analysis
- Completes control testing by collecting, analyzing, interpreting and verifying information
- Develop knowledge in a critical subject matter area and/or knowledge of key business processes
- Perform special projects with due diligence
- Performing and reviewing Sarbanes-Oxley compliance work companywide
- Assist leading and running internal or co-sourced audit teams in the execution of SOX testing
- Documenting results and completing SOX work in accordance to standards
- Process improvements to streamline testing procedures
- Making recommendations to improve internal controls and remediate SOX deficiencies
- Liaising with key operational and financial partners
Qualifications for SOX auditor
- Experience working in corporate internal audit department, public accounting or consulting firm
- Demonstrated problem solving abilities with customer service orientation
- Independent self-starter and flexible team player
- Ability to work in fast paced environment with changing processes and procedures
- Intermediate level proficiency in Microsoft software including Word, Excel and PowerPoint
- Comprehension of internal auditing standards, Sarbanes-Oxley, COSO and risk-assessment practices