SOX Compliance Analyst Sr

POSITION CONCEPT

The SOX Compliance Analyst Sr is responsible for supporting the execution of the company’s Sarbanes-Oxley (SOX) compliance program. Works closely with internal stakeholders and external auditors to ensure the effectiveness of internal controls over financial reporting (ICFR). Requires a strong understanding of SOX requirements, business process controls, and IT general controls (ITGCs), along with the ability to analyze risks and communicate control expectations. Plays an essential role in helping the organization maintain compliance with regulatory standards, promote risk mitigation, and drive operational efficiencies.

PRIMARY DUTIES AND RESPONSIBILITIES

- Support the annual SOX compliance program, including planning, risk assessment, scoping, testing, and reporting.

- Support auditor walkthroughs and detailed testing of business process and ITGC controls, documenting results in accordance with professional standards.

- Collaborate with process owners to identify key controls and assess design effectiveness.

- Evaluate control deficiencies and support remediation efforts, including root cause analysis and control enhancements.

- Maintain documentation of process narratives, risk control matrices (RCMs), flowcharts, and control testing evidence.

- Partner with internal and external auditors to coordinate testing and respond to audit requests and inquiries.

- Provide guidance and training to control owners to promote SOX awareness and strengthen the overall control environment.

QUALIFICATIONS

Education

Required:

Bachelor’s degree in MIS, Computer Science, Accounting, or other related business/technology disciplines from a regionally accredited institution.

Preferred:

Master’s degree in business, Cyber Security, or other related business/technology discipline from a regionally accredited institution.

Licenses/Certifications

Preferred:

Certifications demonstrating a broad knowledge of internal audit, business, technology, or project management (e.g., CPA, CISA, PMP).

Related Experience

Required:

4 years of direct or related work experience. Related experience consists of: SOX compliance, public accounting, internal audit, and/or financial analysis/processes.

Preferred:

Experience in public accounting and/or the utility industry.

Knowledge/Skills/Abilities

(KSA)

Required:

- Highly detail oriented, self-motivated and able to manage multiple priorities.

- Strong project management skills and ability to undertake change management.

- Excellent verbal and written communication skills, including strong critical thinking and detailed analytical/problem solving.

- Proficiency in customer and client relationship management.

- Understands compliance and remediation requirements and has a full understanding of SOX implications, controls, etc.

- Understands testing techniques and able to communicate findings to various stakeholders or management.

Preferred:

- Working knowledge of ERP applications (e.g., SAP, Oracle Financials, Peoplesoft, etc.)

- Working knowledge of utility industry technology compliance requirements (e.g., NERC CIP).

- Working knowledge of tools used for computer assisted audit techniques, data analytics and transformation (e.g., ACL, Arbutus, Idea, PowerBI, Tableau, etc.)

- Ability to assess emerging technology, complex financial and business risks.