Senior Auditor, Corporate SOX

Duties

Serves as a subject matter expert for MAR/SOX compliance programs to support the Model Audit Rule Department (MAR/SOX) in the compliance effort that results in annual reporting to the Department of Insurance. Evaluates internal control structures, policies, and procedures, including financial records, operational processes, and computer operations. Completes risk assessments, reviews controls and risk mitigation, and documents the risks, controls, and methods for testing operational effectiveness.

• 40% Based on the output from the risk assessment, evaluates processes that impact each in‑scope financial statement line item and performs control documentation activities, including operational, financial, entity level, and I/S processes. Determines applicable risks and mitigations through control activities. Ensures risks are addressed based on COSO/COBIT/MAR guidance and identifies remediation needed for any unmitigated risks. Communicates with management, makes recommendation on remediation design, and uses project processes to ensure remediation is completed.
  
  Prepares and maintains clear, detailed, accurate SOX documentation, including process diagrams, control descriptions, risk‑control matrices, test plans, and test results evaluations.
• 20% Serves as a subject matter expert for MAR/SOX compliance programs and continuously seeks to improve effectiveness and efficiency of the processes/tools utilized to ensure compliance. Provides training, development, and assistance to business areas, audit staff members, and MAR/SOX team members in preparing MAR/SOX documentation and conducting testing. Assists internal and external auditors, including the Department of Insurance, to reduce duplication of efforts and burden on management.
• 15% Prepares written audit reports to communicate findings and recommendations to MAR/SOX Steering and Executive committees, and the Department of Insurance.
• 10% Participates in the risk assessment process for each company required to be in compliance with MAR/SOX based on a top‑down risk‑based approach.
• 5% Completes entity‑level control evaluation and testing consistent with COSO principles, the NAIC Model Audit Rule, and the Sarbanes‑Oxley Act. Makes recommendations on remediation design and uses project processes to ensure remediation is completed.
• 5% Performs peer review of documents (narrative, risk‑control matrices, test plans, test work papers, remediations, etc.) prepared by peers to ensure departmental standards are met. Works with peers to address improvement opportunities.
• 5% Performs project work as directed by management team. Projects focus on improving quality and efficiency of MAR team functions.

Required skills and abilities: knowledge of effective auditing, general accounting standards, and work‑paper documentation; strong interpersonal, oral and written communication skills; excellent planning and organizational skills; knowledge of relevant computer support systems; strong analytical skills; ability to perform within tight deadlines and prioritize effectively.

Required software and tools:
Microsoft Office.

Required education:
Bachelor’s degree in Accounting, Computer Science, Business Administration, Information Systems, Finance, or another job‑related field.

Required work experience: 7 years of auditing, Information Systems, Sarbanes‑Oxley/MAR compliance, or accounting/financial reporting experience.