AVP, IT SOX Manager

Job Description:

Role Summary/Purpose:

The AVP, IT SOX Manager is primarily responsible for ensuring appropriate IT controls are identified and tested on a regular basis to comply with regulatory requirements.  The position focuses on engagement planning, risk assessment, and execution of testing for control requirements with an IT focus.  The role involves reporting to both internal and external stakeholders on the effectiveness of the IT control framework to mitigate operational, regulatory, and financial risks.

We’re proud to offer you choice and flexibility. At Synchrony, our way of working allows you to have the option to work from home, near one of our Hubs or come into one of our offices. Occasionally you may be required to commute to our nearest office for in person engagement activities such as business or team meetings, training and culture events.

Essential Responsibilities:

• Lead, develop and execute IT General Controls and IT application control testing and producing high quality deliverables according to departmental and professional standards while ensuring walkthrough and testing are completely timely and within budget.

• Assist and support the Senior Manager in building the IT SOX program and develop a positive cross-functional relationship.

• Identify control gaps and potential issues, discuss viable solutions with the business to address gaps, and obtain management action plans for remediation.

• Communicate test results to leaders and other stakeholders throughout the business, and provide periodic updates to external auditors.

• Document any exceptions/findings that are noted as part of design and testing phases. Ability to identify an issue/finding and communicate it to the Senior Manager in a timely manner.

• Interact and collaborate with stakeholders and process owners throughout the organization to implement necessary process and control modifications to mitigate operational, regulatory, and financial risks.

• Provide interpretation and guidance to process owners regarding key risks and controls within the IT function.

• Perform and document issue validation and close audit findings

• Provide effective challenge to the business regarding the assessment of risks and controls within the IT function.

• Coordinate with external auditors to align testing efforts and deliver testing workpaper that is meeting audit standards and guidelines, including testing control reliance and reach a conclusion.

• Assist with conducting annual risk assessments to determine significant IT systems, platforms and applications in scope for SOX testing.

• Perform other duties and/or special projects as assigned.

Qualifications/Requirements:

• Bachelor's degree in Information Technology, Management Information Systems, Business Administration or an equivalent area of focus with minimum 4+ years of overall experience, or in lieu of a degree minimum 6+ years of overall experience

• Minimum 4+ years of Big 4 accounting firm experience in IT SOX or 5+ years in the industry with SOX 404 regulatory requirements specific to the IT audit environment.

• Strong understanding of Sarbanes Oxley Act Section 404 and control framework (COSO, COBIT) and auditing standards.

• Strong technical IT auditing skills and ability to understand a complex environment with a large quantity of in-scope applications and various technology platforms.  

• Testing and other Assurance function specific to IT audit/control testing.

Desired Characteristics:

• 4+ years in Financial Services industry, with IT Audit focus

• Familiar with Data Science or analytics tools and techniques, such as ACL, SAS, Pythons, etc.

• Comprehensive understanding of a wide variety of technologies and systems, such as Windows, Linux, Oracle, SQL Server.

• Strong Microsoft Office, including Excel, Word, PowerPoint, Outlook skills are required.

• Relevant industry certifications - CISA, CISM, CISSP, CRISC, CGEIT

• Demonstrated ability to communicate effectively with various levels of stakeholders 

• Proven effective time and project management skills by demonstrating the ability to manage and coordinate multiple projects and deadlines to ensure all assigned projects are being completed on time with high quality.

• Ability to assess a situation/process and identify potential issues or risks and communicate observations to management.

• Independent thinker and can critically think and present a solution to the management team.

• Strong organization skills and interpersonal and team skills.