Director, SOX Compliance

Overview

The Director, SOX Compliance will serve as a member of the AssuredPartners Corporate internal audit team and will report to the SVP, Global Head of Internal Audit.  You will be responsible for leading the design and implementation of an enterprise-wide Internal Control over Financial Reporting (ICFR) Framework as part of a strategic Finance Transformation Initiative.  As phases of the Finance Transformation Initiative complete, your responsibility will transition to leadership of AP’s SOX Compliance Program including management’s ICFR testing strategy, deficiency identification and remediation, control environment continuous improvement, and external audit liaison and support.  Lastly, you will be a key participant in ensuring compliance with regulatory financial reporting requirements, and will work collaboratively with key leaders to establish and achieve financial reporting process improvement objectives.

What You'll Do

• Lead the planning, design and implementation of an ICFR framework and SOX compliance program including:
  • Establishment of Financial Materiality
  • Identification of in-scope business processes and technology assets/processes
  • Development of process, risk and control documentation
  • Establishment of individual control designs and standards
  • Strategic design of overall ICFR control environment
  • Partner with members of the Finance & Accounting teams and Finance Transformation Project Team to ensure timely and effective collaboration
  • Management of 3rd Party resources supporting the day-to-day execution of Internal Controls Workstream activities, including ownership of the 3rd party engagement
  • Coordinate ICFR Framework Design and Implementation with External Auditor to optimize the efficiency of ongoing and future audit and assurance efforts
• Lead the development of SOX compliance program processes including process walkthroughs, process documentation, management’s documentation of control performance, ICFR testing strategy, staffing plan, reporting framework, and external audit support model
• Prepare for and participate in external regulatory inspections and internal audits
• Coordinate the evaluation and severity assessment of identified control deficiencies
• Apply and assess financial reporting impact based on knowledge of Accounting Principles (eg IFRS, GAAP)
• Recommend control deficiency remediation options
• Oversee timely control deficiency remediation
• Develop SOX program reporting packages for executive leadership and audit committee stakeholders in partnership with the SVP, Global Head of Internal Audit
• Maintain current and in-depth knowledge of financial regulations, required reporting requirements, and industry/regulator standards
• Support Internal Audit departmental initiatives that enhance department engagement
• Partner with external auditors and other assurance providers as required

What's in it For You?

To help you make the best decision for your personal growth, it’s important to us to share a glimpse of what we offer our top asset, our people:   

• Competitive base salary   • Generous 30+ Days Comprehensive Paid Time Off Package inclusive of Paid Time Off, 10 Company Holidays, 2 Floating Holidays, 5 Sick Days, and 2 Volunteer Days• Health benefit options with you in mind; 5 affordable medical plan options with rates based on your salary, company paid HSA contribution with eligible HSA plan selection, 2 dental plan options offering orthodontia coverage and 3 cleanings per year, and 2 vision plan options    • Company match 401(k) plan – 50% up to 6%!   • Support of your fitness wellness goals! We offer up to 75% off at over 11,000 gyms and fitness centers    • Opportunity to prioritize your mental health with 24/7 access to licensed therapists   • Pet benefits & discounts    • Access to our Employee-led Resource Groups (ERGs) that lend a voice to the variety of demographics represented throughout AssuredPartners  

What You'll Need

• Bachelor’s degree in business, finance, accounting or another relevant field
• 10+ years of audit or risk management experience in a professional services firm, internal audit or enterprise risk management team, preferably with a publicly listed company
• Excellent understanding of internal control, testing and reporting requirements and standards
• Familiarity with COSO Risk Management standards and implementation
• Strong presentation, communication and writing skills with ability to present analysis and findings in a cohesive, understandable and actionable format
• Effective leader with experience coaching, managing and developing audit staff

 

Preferred Qualifications

• Experience leading Sarbanes