SOX Compliance Internal Auditor - Daley and Associates

Boston, MA

About the Job

SOX Compliance Internal Auditor– Financial Services – Boston, MA

We are seeking candidates for an Internal Auditor – Associate position with an industry leading financial services firm located in Boston, MA. This position will be responsible for auditing, testing, and documenting the effectiveness of key internal controls as required under SOX. This role involves assessing the design and operational effectives of assign SOX controls, maintaining high quality documentation, and updating management on testing progress. The ideal candidate will have 3+ years of accounting, corporate audit, audit SOX testing experience within financial services.

This a 3–6-month contract that will pay $30/hr within a 40-hour work week. This position is required to be onsite 4 days/week in their Boston office.

Responsibilities:

SOX Control Testing and Documentation: Conduct detailed testing and evaluation of assigned key SOX controls, ensuring they operate effectively and are compliant with regulatory requirements. Prepare clear and thorough workpapers for all test results, documenting procedures, observations, and conclusions.
Workpaper Management: Maintain organized and comprehensive workpapers that detail all test procedures and findings. Ensure workpapers meet both quality standards and audit documentation requirements to facilitate efficient reviews by management and external auditors.
Internal Control Assessment and Improvement: Engage with management and process owners to discuss internal controls, assess compliance needs, and evaluate risk exposure. Provide insights and recommendations to enhance internal controls and support the organization’s compliance objectives.
Timely Reporting and System Updates: Regularly update the audit progress and test results in the reporting system (e.g., W-desk), ensuring accurate and timely reporting of testing progress and audit findings.
Cross-functional Collaboration: Work closely with control owners, management, and other internal audit team members to facilitate effective communication and understanding of SOX requirements and control expectations.

Qualifications:

Bachelor’s degree in Accounting, Finance or related field required
Master’s degree in Finance or Accounting preferred
3-5 years of experience in SOX compliance or internal audit within financial services preferably
Chartered Accountants (CA) or Certified Public Accountant (CPA) preferred
Proficiency with SOX reporting and documentation tools (e.g., W-desk, Workiva) and audit software.
Strong knowledge of Excel for data analysis and documentation.
Strong attention to detail and analytical skills, with the ability to identify control deficiencies and assess their impact
Excellent written and verbal communication skills, capable of discussing control issues and risk assessment with both management and external auditors.
Strong organizational skills, with the ability to manage multiple assignments and meet tight deadlines without compromising quality.

If you are interested in learning more about this opportunity, please email your resume to Olivia at ociviello@daleyaa.com.

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Source : Daley and Associates