Sox Auditor Resume Samples

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D Nitzsche

Delphia

Nitzsche

51015 Armstrong Cape

Chicago

+1 (555) 471 2656

51015 Armstrong Cape

Chicago

Phone

p +1 (555) 471 2656

Experience Experience

New York, NY

Sox Auditor

New York, NY

Daugherty, Pfannerstill and Cassin

New York, NY

Sox Auditor

Assisting in the identification of the controls; ensuring the generation of accurate and complete financial reports
Documenting and evaluating entity, general computer and application controls
Performing walkthroughs to test control design/operating effectiveness
Creating detailed work products such as audit analysis, correspondence, memoranda and other working papers that document the procedures performed; presenting findings, and the results of those procedures
Evaluating the internal control measures and procedures and report on areas of noncompliance
Developing creative, practical, and cost-effective recommendations for process improvements or efficiency enhancements to company processes as well as internal processes
Performing tasks of data collection, verification and interpretation, as instructed by the external auditors

Detroit, MI

Senior SOX Auditor

Detroit, MI

O'Keefe, Larson and Nicolas

Detroit, MI

Senior SOX Auditor

Provide and assist in the oversight to the Internal Audit participation of the Corporate Intern Program
Provide direct assistance to external auditors (performs work on behalf of external auditors and is supervised directly by external auditors)
Responsible for the review of internal control environment to ensure the design, implementation and monitoring of control points are efficient and effective, to include risk assessments, audit plans, audit programs and audit reports
Develop and deliver training material to SOX/MAR Program participants, including Business/IT management and Internal Audit
Plan and execute audit assignments which include assessing the design and operating effectiveness of the internal control structure and compliance with policies and procedures
Knowledge of the Standards for the Professional Practice of Internal Auditing (Attribute, Performance, and Implementation); familiarity with the Institute of Internal Auditors’ Code of Ethics and Practice Advisories for Assurance and Consulting Services
Develop and maintain effective working relationships with the external auditors and global Controllership teams, including Global Internal Controls Teams and ICFR owners

present

Los Angeles, CA

IT Principal SOX Internal Auditor

Los Angeles, CA

Torphy, Hegmann and Littel

present

Los Angeles, CA

IT Principal SOX Internal Auditor

present

Executes audit fieldwork autonomously in accordance with audit work programs and makes improvement recommendations
Assist in providing IT SOX Compliance training to IT and audit staff
Evaluate and report internal control deficiencies/status to senior management and executive management
Execute audit procedures to evaluate the accuracy and completeness of System Reports and End User Computing Spreadsheets
Coordinates all audit efforts with business process owners, regional management, and global audit teams
Provide audit support for the external auditors
Build a strong relationship with the business owners, IT management and external auditors

Education Education

Bachelor’s Degree in Accounting

Duke University

Bachelor’s Degree in Accounting

Skills Skills

Strong attention to detail
Excellent analytical skills
Highly organized
3-10 years of professional working experience
Ability to multitask
Polished and professional demeanor
Proficiency with computer platforms and applications
Excellent communication skills
Prior experience in a Big 4

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14 Sox Auditor resume templates

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Sox Auditor Resume Examples & Samples

Understands and is able to apply their knowledge of the SOX requirements and standards
Ability to complete compliance engagements including documentation, testing and remediation of financial, general computer and application controls
Ability to analyze and evaluate various financial and operational business processes and controls
Assisting in the identification of the controls; ensuring the generation of accurate and complete financial reports
Documenting and evaluating entity, general computer and application controls
Performing walkthroughs to test control design/operating effectiveness
Creating detailed work products such as audit analysis, correspondence, memoranda and other working papers that document the procedures performed; presenting findings, and the results of those procedures
Evaluating the internal control measures and procedures and report on areas of noncompliance
Developing creative, practical, and cost-effective recommendations for process improvements or efficiency enhancements to company processes as well as internal processes
Performing tasks of data collection, verification and interpretation, as instructed by the external auditors
Accounting degree from an accredited university
Three years minimum related, applicable experience
Public Accounting experience, a plus

SOX / SOC Senior Auditor Resume Examples & Samples

Excellent oral and written communication skills are required; Must be flexible and adaptive to change
Leads a team of 1 or more staff in executing SOX 404/SOC1 related testwork
Works closely with the Audit Team Leader to develop the audit budget and/or timeframe for how the testwork will be completed
Completes and compiles findings and recommendations for the purpose of status updates, memos, and communications with coordinators
Coordinates with other audit teams (business unit, regional, and specialist) to ensure evaluations of related areas occur timely and cover key areas have been considered
Operates independently; has in-depth knowledge of business unit/function
Carries out activities that are large in scope, cross-functions and technically difficulty. Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities

Sox Auditor Resume Examples & Samples

Minimum of 5 years industry experience
BS/BA or MBA, prior experience at a Big 4 accounting firm and CPA preferred
Previous internal controls documentation and or testing experience
Experience with cross-functional project management
Strong analytical skills, including quantitative analysis
Excellent communication skills in a very hands on environment

Senior SOX Auditor Resume Examples & Samples

2-5 years of public accounting experience, particularly with global publicly traded companies
Extensive SOX experience is needed,
The ability to travel 30-35% both domestically and internationally

Auditor, SOX & Internal Audit Resume Examples & Samples

Update Extreme’s SOX documentation, including flow charts, risk and control matrices as well as support implementing new or modifying existing controls to ensure our documentation is current and in line with Company policies
Perform root cause analysis, document audit observations and design efficient and effective remediation plans. Prepare formal audit reports for Company’s executive management and Audit Committee
Conduct Internal Audit projects as directed in accordance with Extreme’s Annual Internal Audit Plan
Exercise mature business judgment and help create a team environment
Big Four and US multi-national experience preferred
Strong analytical skills and knowledge of US GAAP
Excellent written/verbal communication, interpersonal, and relationship building skills
Sound knowledge of MS Office i.e. Word, Excel and PowerPoint. Oracle knowledge a plus

Senior SOX Auditor Resume Examples & Samples

Knowledge of and skill in applying internal auditing and accounting principles and practices and management principles and business practices
Must have a strong process design orientation, a strong ability to identify risk exposures and a keen ability to identify risk prevention and risk mitigating solutions
Proficient in Microsoft Applications and other relevant analytical tools (e.g. ACL)
Understanding the principles of Sarbanes-Oxley control, Foreign Corrupt Practices Act and SSAE16
Willing to work extended hours, as required, including mornings and evenings
Graduate of Bachelor’s/College Degree (Finance/Accountancy/IT or equivalent)
Professional accounting and/or auditing qualification (CA, CPA, CIA, CISA or equivalent)
Minimum of 3 years of recent experience in accounting and auditing
Big 4 Public Accounting firm and/or manufacturing /shared service center experience
Experience in SAP
Experience in Analytics and Data Mining

SOX & Internal Controls Auditor Resume Examples & Samples

Perform audit procedures to verify controls are operating effectively through testing and interviewing techniques
Communicate in a timely manner any deficiencies or exceptions identified during testing and assist in identifying root cause and proposing practical recommendations to remediate control gaps
Follow-up on remediation activities for deficiencies identified to ensure control gaps are successfully resolved
Assist with the Company’s SOX and internal control documentation including Risk Control Matrices (RCMs) and process narratives
Assist in the walkthrough of control processes and ensure control tests are appropriately designed to assess applicable business and financial reporting risks
Document SOX testing results in accordance with established regulatory and auditing standards
Assist with the implementation of tools or software used for the Company’s internal control compliance program
Perform other activities on an ad hoc basis (such as SOC-1 analysis and reviews) to ensure COSO framework requirements and other regulatory standards are met
1-2 years of relevant work experience at a publicly trade company’s internal audit department or at a public accounting firm

Senior SOX Auditor Resume Examples & Samples

Participate in the development of the annual SOx testing plan
Plan, perform, and manage field work to evaluate the effectiveness of key internal controls for financial reporting
Perform audit/testing to ensure risks are appropriately identified, associated audit procedures are applied and related controls are designed and operating to mitigate the identified risks. Also, ensuring automation of procedures whenever possible
Prepare and report control deficiencies, provide recommendations to address the root cause of issues and report on the status of implementation of management remedial actions
Train and supervise other auditors (internal or external) in all phases of SOx 404 testing, including advance preparation, monitoring the progress of the auditors assigned to the project, and reporting results of the audit
Participate in cross-functional committees designed to enhance overall governance compliance program development and continuous process improvements
Develop and maintain effective working relationships with the external auditors and global Controllership teams, including Global Internal Controls Teams and ICFR owners
Keep up to date with changes in regulations, governance and best practices
Maintain professional certifications and related educational requirements as well as other duties assigned by the Internal Audit Manager
Professional certification such as Certified Public Accountant (CPA or country equivalent), Certified Internal Auditor (CIA) or Certified Information Systems Auditor (CISA) is a plus
Masters degree or other relevant certification is a plus
Internal or external audit experience within a large company, specifically US companies subject to SOX requirements is required
Current or former Big 4 firm experience is a plus
Theoretical and practical knowledge of processes, risks and internal controls and the application of audit practices (e.g., COSO, COBIT, GAAS) to these areas is required
Robust project management skills; experience working with multi-project management (10+ projects in a cross-functional setting is required)
Practical knowledge of ERP systems (i.e. SAP or comparable large ERP systems) and PC proficiency in MSOffice (Excel, Word, etc.) is required
Experience in industries analogous to Grainger's is a plus
Experience with an organization with a geographically dispersed infrastructure, including a meaningful international component, is a plus
Strong organization, planning and project management skills. Comfortable performing multifaceted projects in conjunction with day-to-day activities
Ability to interact and communicate well with employees across different business environments
Excellent understanding of internal controls
Strong business acumen & analytical skills with attention to detail
Ability to work under strict deadlines with minimal supervision

Sox Auditor Resume Examples & Samples

Develop, maintain, and communicate internal control documentation requirements and standards
Perform regular audits of operational processes across all functions to ensure that SOX and other company�s requirements are being adhered to
Coordinate internal controls audits performed by internal/external auditors and lead the effort to help address all findings/observations
3) CPA or CIA preferred

Internal Controls & SOX Auditor Resume Examples & Samples

Sarbanes Oxley (SOX) compliance testing and analysis, including coordination of robust and timely remediation of deficiencies
Drive and initiate internal controls initiatives
Lead business risk, self-assessment, and implementation of action plans
Coordinate and track accounting / non accounting processing policy deviation requests
Provide internal and/or external analysis, consultation and decision support
Facilitate problem resolution and analysis
Develop and present data to the leadership and others within the organization
Coordinate communication of information between departments
Frequent communication and coordination with global, cross functional, and third party providers
Lead local Business Continuity activities and Information Lifecycle Management (ILM) record retention requirements
Serve as a liaison between General Motors Audit Services and other external auditors
Assist in developing and communicating corporate policies and practices
Proactively identify issues, opportunities, implement positive change, and process improvements
Leverage best practices from regional shared service centers and apply locally
Work involves a high level of independent judgment, decision making, problem solving, creativity, and initiative
Knowledge and understanding of corporate/unit policies and procedures
Ability to prioritize assignments/projects and multi-task within restricted time constraints
Ability to adapt quickly to changing controls environment
Demonstrated ability to work with minimal supervision on unstructured assignments
Experience with SAP
Strong Audit skills
Demonstrated problem solving and analytical abilities
Strong interpersonal skills and demonstrated commitment to teamwork and partnerships
Strong networking and collaboration skills
Highly proficient in computer and technology driven skills
College degree with a major in Accounting
Public accounting experience (Big 4 preferred)
Prior experience with SOX compliance
Prior experience with internal audit or internal controls
Fluent (English)

IT SOX Auditor Resume Examples & Samples

Sarbanes-Oxley control reviews
ITGC, Business process and operational controls reviews
Suppliers and business partners reviews
Bachelors or Masters Degree or University Degree or equivalent
The ideal candidate should have at least 2-7 years of working experience in SOX 404, internal and/or external audit, accounting/finance, IT consulting/operations for multinational organization

Senior IT SOX Internal Auditor Resume Examples & Samples

Design and execute testing for: IT controls, reports, automated controls, and projects with SOX implications
Work with process and control owners to evaluate audit findings and provide assessment to management
Lead risk assessment, program development, work paper documentation, testing, controls evaluation
Coordinate with external auditors, and work with outside contractors with respect to specific IT audit engagements
Assist in conducting the annual IT control rationalization exercise with business and IT owners
Utilize data analysis techniques and audit software to evaluate and monitor ancial and operational risks
Able to translate your learnings and experience into solutions that are practical and scalable to meet the needs of a rapidly growing business
Able to communicate very well in verbal and written form. This applies to interacting with stakeholders, the IA team, and in your written communications
Bachelor’s degree in business, information systems or related field or equivalent experience
Evidence of exceptional ability
Ability to present audit findings and recommendations in a manner that will be understood and accepted by all responsible parties
Familiarity and understanding of major professional audit frameworks and standards (NIST, ISO 27001, ITIL, COBIT, PCI-DSS, etc.)

Sox Auditor Resume Examples & Samples

Prepare and develop internal audit steps to hit internal audit objectives
Document internal control processes and procedures
Prepare time budgets for completion of various audits and program steps
Perform Operational and Fraud Audits
Perform Balance Sheet and Income Statement analysis
Assist in Inventory observations and Lender collateral inspections
Provide guidance to Operations and Finance teams on existing Workflow Policies & Procedures and Best Practices
Have a Bachelor�s degree in Accounting, Finance or Business Administration
Have 3+ years of Accounting experience in a manufacturing setting
Have previous experience of internal controls and protection of company assets
A Master�s degree in Accounting
Professional Certifications CPA, CMA, CFE or CIA is highly preferred
Have previous experience with SOX 404 process documentation and testing experience
Have knowledge of Financial Analysis, Continuous Auditing and Big Data
Prior management experience is required

Sox Auditor Resume Examples & Samples

Assist in communicating program changes and training SOX process owners and Internal Audit team members
Perform and document control walkthroughs as directed by the Director of SOX through inquiries with team members, observations of procedures, and examination of documentation prepared by management
Investigate discrepancies and opportunities identified, and effectively communicate the results to the Director of SOX through verbal and written communication
Maintain an awareness of changes in gaming regulations and COSO Internal Control Framework

Senior SOX IT Auditor Resume Examples & Samples

Perform annual walkthroughs with the control owners to confirm operation of the controls
Support the business SOX compliance auditors in the design and testing of automated application controls and controls over end user computing tools
Communicate control gaps and weaknesses to process owners
Assist IT in developing remediation plans
Bachelor’s degree with a major in accounting, finance, information technology or other related discipline
3 to 5 years experience in Internal Audit, SOX Compliance and/or public accounting
Current or former Big 4 experience a must
Strong conceptual, analytical and organizational abilities
Soft skills should include
Hands-on

Senior IT SOX Auditor Resume Examples & Samples

Work closely with process owners to confirm that key controls are designed and operating effectively throughout the year and for any remediation required as a result of test findings
Identify new and changed controls, prepare documentation and evaluate their design
Prepare/maintain risk and control matrices for assigned processes identifying risks and controls and evaluating the adequacy of the risk mitigation strategies by determine inherent and residual risk
Assist with the assessment of controls at 3rd party business partner by reviewing SOC reports and evaluating the results within the reports and their impact of the company’s controls
Design and execute testing strategies on a quarterly basis
Identify control deficiencies, perform root cause analysis, analyze the impact of the control deficiencies on the business processes and assist SOX compliance management in determining the impact of such exceptions on the financial statements
Monitor control deficiencies and remediation strategies and test the remediated controls
Review the work of the IT SOX Compliance Staff to ensure completeness, accuracy and compliance with program standards
Assist in the coordination of SOX compliance activities with external auditors
Excellent communication skills – written and oral – to both technical and non-technical audience
Capability to provide guidance to SOX Compliance Staff Auditors, while maintaining individual productivity
Must be an effective team player
Ability to work on multiple tasks with competing priorities in a rapidly growing, fast-paced, dynamic environment
Commitment to continuous learning and maintaining subject matter expertise on technology, SOX and related regulations, methodologies and best practices
Certification such as CISA, CPA, CIA, CFE or equivalent a plus
Experience in RSA Archer a plus
Ability to travel about 30% domestically and internationally
Ability to work well with others and garner cooperation
Aptitude for working well under pressure
Accepting responsibility for own work
Ability to present creative solutions to management

Senior SOX Auditor Resume Examples & Samples

10+ Years SOX & Audit Experience
CPA and/or Big 4 or other large firm heritage HIGHLY Preferred
Perform SOX documentation updates, process walkthroughs and control identification, update RCM’s, update test plans, perform testing, handle all areas except initial scoping
Opportunity to pivot to Internal Audit team, domestic travel possible (US and possibly international)
Perform SOX 404 updates and execution
Strong SOX experience in above areas with Public Companies, NOT government work
Strong level of professionalism and business judgement
Professional, solid interpersonal skills

Sox Auditor Resume Examples & Samples

Support SOX documentation projects as assigned to include ad hoc and recurring detail testing, process narrative updates and/or special projects to be determined
Perform daily/weekly/monthly/quarterly audits of transactions objectively and productively according to department policies and procedures
Coordinate and communicate with other SOX teammates in order to ensure the standardization of testing and reporting
Communicate findings of daily/weekly/monthly/quarterly audits to the SOX team, identifying trends, issues, and education opportunities
Plan, schedule, and facilitate meetings and teambuilding activities as necessary
Respond to customer requests and attend customer meetings in a timely manner
Identify opportunities to improve SOX testing methodologies and processes
Report workplace injuries to a member of the management team or People Services immediately
Travel required: up to 25%
Other duties and responsibilities as assigned including but not limited to
A "community first, company second" culture based on Core Values that really matter
Clinical outcomes consistently ranked above the national average

Senior Internal Auditor SOX Resume Examples & Samples

Technical systems skills including Microsoft suite and /or other SOX data repository tools
Certifications such as CIA or CISA required
Demonstrated knowledge of Sarbanes-Oxley, particularly section 404
Demonstrated knowledge of COSO Integrated Framework-internal controls
Willing and able to travel up to 20%
IT security experience and infrastructure knowledge related to network technology and databases a plus
SAP experience in a manufacturing environment
Proficiency in information technology control concepts and systems development methodologies a plus
Knowledge of generally accepted IS audit and control standards desired
CPA or MBA a strong plus
Excellent communication skills (written and verbal) and interpersonal skills

Sox Auditor Resume Examples & Samples

Education Required: Bachelor’s degree in Accounting and/or Finance. Certifications; CPA, CIA, CISA preferred
Required or Acceptable Job-Related Experience: Internal Audit and SOX experience, Communication skills
Years of Job-Related Experience required: 2-4 years minimum
Technical/Other Skills Required: MS Office

SOX & Internal Auditor Resume Examples & Samples

Bachelor’s degree, preferably in Accounting, Auditing or Finance
Certification as a CPA or CIA is a plus
Self-starter with the ability to prioritize, multi-task and take ownership of projects and attention to detail
A team player with the ability to interact with all levels of the organization
Strong inter-personal skills. Ability to build constructive and effective relationships
Possess good organizational and communication skills (both written and verbal)
Proficiency in Microsoft Office applications and computer savvy is a plus

Senior SOX Auditor Resume Examples & Samples

Responsible for the review of internal control environment to ensure the design, implementation and monitoring of control points are efficient and effective, to include risk assessments, audit plans, audit programs and audit reports
Assist in assessment and refinement of SOX/MAR Model Audit Rule (MAR) Program procedures within the PMO, Internal Audit and corporate/business unit functions
Develop and deliver training material to SOX/MAR Program participants, including Business/IT management and Internal Audit
Assist in SOX/MAR scoping efforts including risk based analysis of financial statements and related processes, controls and supporting information technology
Execute assigned testing and coordinate with Internal Audit on entity, business and IT control testing, including roll forward and retest procedures
Provide and assist in the oversight to the Internal Audit participation of the Corporate Intern Program
Monitor and report on issue identification/retesting/closure status
Provide a point of escalation for problems related to the program such as response issues related to testing and/or issue mitigation
Developing an audit program to test the effectiveness of internal controls and adherence to banking regulations
Provide a point of contact for the external auditor and regulators with regard to their audit requirements
Bachelor's degree in Accounting, Finance or a related field
Minimum of 4-6 years' experience in an internal audit capacity
Big 4 experience strongly preferred
CPA, CIA or CFE certification preferred
Thorough knowledge of U.S. SOX, with a working knowledge of U.S. GAAP to enable the development of effective audit test procedures and control risk assessment analysis
Excellent written, verbal and reporting skills are needed to interact effectively with peers, management and external auditors

Associate SOX Auditor Resume Examples & Samples

Develop and maintain a business network within assigned area of responsibility
Assist in the validating current state business processes
Document process flows
Request and organize source documentation
Execute financial control testing
Validate test exceptions
Document SOX work papers
Address review notes
Execute remediation activities
Execute SOC I reviews
Participate in the management self-certification process
Support SOX Office administrative functions and requirements
Participate as an integral part of the team, exhibiting ownership, follow-through, initiative,

Senior Manager SOX Internal Auditor Resume Examples & Samples

Program management of the Company's Sarbanes-Oxley compliance efforts excuted by the Pune SOX team, which includes providing direction to staff towards timely completion of activites
Preform reviews of SOX documentation (flow charts) and test workpapers
Coordination with key stakeholders, process and control owners to ensure that processes are appropriately documented, key risks are identified and addressed with effectively designed controls, and those controls are operating effectively
Assist in the annual risk assessment, materiality determination and development of detailed testing plans
Coordination with process and control owners for the regular update of process documentation, as well as external auditors, for process walk-through and documentation
Prepare reports/presentations on the status of the compliance process for stakeholders including, but not limited to process owners, senior management, and Audit Committee
Train new or existing staff, and control owners on the internal control compliance process, including testing and performing of self-assessments
Strong understanding of US GAAP, SOX 404, COSO 2013 Internal Control Framework, PCAOB and SEC guidance
Minimum of 8+ years of Audit/SOX Experience, with 3+ of management
CA,CPA, CIA, CISA or CFE preferred
Project management experience (PMP certification)
Experience in evaluating IT General Controls, IT Application Controls, and System Generated Reports
Experience with Oracle ERP environment preferred
Ability to travel 5-10% of the time mainly to the United States of America

Principal SOX Internal Auditor Resume Examples & Samples

Program management of the Company's Sarbanes-Oxley compliance efforts. This includes coordination with key stakeholders, process and control owners to ensure that processes are appropriately documented, key risks are identified and addressed with effectively designed controls, and those controls are operating effectively
Evaluate processes, risks, and internal controls for weaknesses/gaps and identify areas of potential improvements
Provide subject matter expertise in SOX, operational, and financial controls as it relates to risk and control optimization/rationalization
Collaboration with process and control owners for impact assessment of identified deficiencies, as well as remediation of identified deficiencies, advising them on internal control enhancements or process changes
Evaluate control deficiencies in accordance with SEC Guidance for Management
Coordination with testers, process and control owners, and external auditors for the audit of the Company's internal controls
Perform and document Entity Level control testing
Train new or existing process and control owners on the internal control compliance process, including testing and performing of self-assessments
Stay current on new technical literature applicable to the internal control process (e.g., PCAOB and SEC guidance, etc.)
Post Graduate Degree in Accounting, or other relevant field of study
Minimum of 6+ years of Audit Experience, with 2+ year of SOX testing
Big 4 Experience Preferred
Positive Mindset to change and adaption
Experience in evaluating IT General Controls, IT Application Controls, and System Generated Reports a plus
Experience with Oracle environment preferred

IT Principal SOX Internal Auditor Resume Examples & Samples

Perform IT process and control risk assessments
Collaborate with IT and Business Stakeholders in updating IT controls and processes
Execute audit procedures to evaluate the effectiveness of IT General Controls and Application Controls
Execute audit procedures to evaluate the accuracy and completeness of System Reports and End User Computing Spreadsheets
Evaluate and report internal control deficiencies/status to senior management and executive management
Provide audit support for the external auditors
Build a strong relationship with the business owners, IT management and external auditors
Assist in providing IT SOX Compliance training to IT and audit staff
Advise and partner with the business on special audit projects
Remain current with IT Security standards, audit issues and other industry best practices
Deliver information to management in support of Audit Committee and Board reporting
Participate in IT Operational Audit
Executes audit fieldwork autonomously in accordance with audit work programs and makes improvement recommendations
Drafts clear and meaningful findings, audit reports, presentations, and other materials for Sr. Management and the Board
Strong understanding of COBIT Framework and COSO 2013 Internal Control Framework,
Understanding of US GAAP, SOX 404, PCAOB, SEC guidance and ISO framework
Proficiency with Oracle ERP is a must
Knowledge of Business Objects, SFDC, HFM or other financial reporting tools preferred
Master Degree in Computer Applications, Management Information Systems or Computer Engineering, or other relevant field of study
Minimum of 6+ years of Audit Experience, with 2+ year of IT SOX testing
Big 4 Experience or Oracle ERP Consulting Support
CISA, CA,CPA, CIA, or CFE preferred
Proficient with Microsoft Excel, Word, PowerPoint, and Visio
Drive for value added results
Understanding of fundamental business processes, risks, controls, and security controls (e.g., Access Management, Logical and Physical Security, Networking security standards, ISO standards, Data Privacy and security best practices)
Experience with a broad range of audit and assurance activities including: PCI DSS version 3.0 auditing and compliance standards, operational audits, privacy and security audits, compliance assessments, systems implementation reviews, privacy, electronic commerce and risk assessments is a plus

Sox Auditor Resume Examples & Samples

Develop/maintain critical SOX-related documentation including process flow charts, risk control matrices and gap listings under guidance from the SOX Audit Director to determine/verify that internal controls are operating effectively
Roll out testing and sampling in phases, across functions and departments (system-wide) to meet quarterly and annual certification
Perform walkthrough procedures to validate and measure the design effectiveness of internal controls identified
Plan, execute and report to management operational audits over business units, activities and functions as assigned by management
Develop and execute testing procedures and sampling to validate and measure the operational effectiveness of internal controls identified
Assemble completed audit files, document and support testing procedures performed and exceptions identified
Provide professional and knowledgeable information to business units regarding findings and recommended corrective actions in order to improve the internal control environment; follow up with respective personnel to confirm that corrective actions are being accurately addressed
Write audit reports summarizing findings and make recommendations to correct areas of non-compliance
Escalate issues that represent higher risk
Seek guidance from SOX Audit Director when issues fall outside guidelines or experience to expand knowledge and skill-set, based for utilization in future similar situations/scenarios
Contribute to department initiatives as assigned by management, i.e. assisting with the creation of trending reports, tracking and logging audit findings and gathering internal documentation as requested by external auditors
Perform other duties/special projects as assigned
High school diploma or equivalent required; a Bachelor’s degree in Business, Finance, or a related field is preferred. Equivalent work experience in the industry in similar positions may be substituted for educational requirements
One year internal audit experience related to consumer lending, mortgage banking/servicing or related industry experience preferred
Working knowledge of the Sarbanes-Oxley Act, as well as federal, state, and regulatory requirements/guidelines related to consumer mortgage lending, internal business processes and controls is preferred
Prior experience using Microsoft Word, Excel, PowerPoint and process flow chart software
Strong analytical and critical thinking skills, including the ability to evaluate facts and data to draw conclusions
Strong attention to details and highly organized
Ability to meet deadlines; strong sense of urgency and responsiveness
Uses sound judgment in executing core job responsibilities
Language Skills - Ability to effectively present information and respond to questions from groups of managers, employees, customers, and the general public. Ability to speak clearly and persuasively in positive or negative situations and conduct productive meetings. Strong verbal and written communication skills. Ability to negotiate and to plan and execute comprehensive employee communication plans
Business/Interpersonal Skills – Ability and willingness to make timely decisions exercising sound and accurate business judgment. Ability to align efforts to business mission and culture and develop strategic initiatives that synch with company strategy. Solid business acumen, exhibit self‐motivation and initiative in timely completion of goals and activities, and ability to interact effectively and responsively to employees and the Leadership Team
Problem solving—Identify and resolve problems in a timely, objective and confidential manner and gather and analyze information skillfully
Planning/Organization – Ability to prioritize and plan work activities, use time efficiently and develop realistic action plans, work independently, and set expectations. Ability to successfully and effectively manage projects, multi‐task and meet deadlines
Quality management—Ability to demonstrate accuracy, thoroughness and quality