SOX Testing and Reporting Manager

Job Description:  

 

Apply advanced data analysis to improve reporting capabilities for both internal and external stakeholders; create and maintain a Testing dashboard (using Microsoft Power BI and/or Tableau) to continually monitor and communicate control testing status to various groups and management levels; in addition to maintenance of dashboard, continual improvements are expected as business needs arise (20%); evaluate and coach internal audit staff and testing team; provide guidance and training as necessary to develop direct reports/testing team; set performance standards, review performance, and assist in making informed compensation decisions in accordance with all applicable Human Resources policies and procedures (20%); oversee delivery of annual Sarbanes-Oxley Act (SOX) testing plan for mutual funds and corporate financial statements; ensure timely delivery of highest quality work and value-add recommendations; assess adequacy of control environment, identify control gaps and opportunities for continuous improvement based on relevant knowledge and experience (15%); communicate status and results of testing to various levels of management; influence management to act on recommendations to strengthen control environment and make process improvements; evaluate reporting and develop improvements as needed (10%); assist in developing and communicating SOX testing and resourcing plan; outline testing scope, determine level of associated risk and analyze exceptions to determine underlying root causes; challenge established processes and controls to ensure they are adequate to mitigate the risk of financial misstatement; perform work and analysis on complex areas (10%); participate in special projects and perform other duties as assigned (10%); leverage teams skill set and experience to drive collaboration and ensure work is completed accurately and timely (5%); develop team members by identifying and communicating areas for improvement in a timely manner (5%); establish and maintain relationships with business management across aligned division and risk partners (5%). Company operates on hybrid model with three days in office and work-from-home available two days. 

 

Requirements: 

 

Requires Master’s in Accounting or Accountancy, Finance, Economics, or closely related field and two years of experience in job offered or as an Assurance Advisor, Banking and Capital Markets (FSO) (Manager) and/or FSO Assurance - Senior and/or FSO Assurance – Staff; or Bachelor’s and five years of experience. Background in education, training or experience must include Microsoft Office (Word, Excel, PowerPoint); experience with U.S. Generally Accepted Accounting Principles (GAAP) and International Financial Reporting Standards (IFRS); knowledge of accounting principles and financial statements; Certified Public Accountant, Chartered Financial Analyst, or Certified Internal Auditor; experience with Sarbanes-Oxley Act (SOX) controls including testing of design and operating effectiveness, and supervision/review of SOX testing, overall assessment of risk environment and how SOX controls align; audit experience; direct audit leadership experience; experience with financial services or banking/capital markets industry; must have problem-solving skills, analytic skills, communication skills, and multi-tasks skills. 

 

Special Factors

Sponsorship

Vanguard is offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chanc