Senior SOX & ICFR Manager – Financial Services

Brewer Morris; Chicago (IL); On-site; USD 140,000 - 190,000; Full time

Job summary

Taylor Root partners with a global, publicly traded financial services organization to appoint a SOX & Internal Controls Manager for its Americas business. This senior, hands-on role owns the SOX 404 and ICFR program across the U.S., driving maturity of the control environment within a complex, regulated platform.

The successful candidate will interact with Finance, auditors and senior management, expanding ownership beyond testing and shaping control design, testing and remediation.

Qualifications

• 7+ years of SOX, ICFR, financial-controls or audit experience.
• Strong knowledge of SOX Sections 302 and 404, ICFR, control design and PCAOB auditing standards.
• Meaningful experience within financial services (broker-dealer, banking, asset management).
• Experience with risk assessment, RCMs, deficiency evaluation and remediation.
• Ability to operate both strategically and hands-on within a complex controls environment.
• CPA and/or relevant financial-controls certification preferred.

Responsibilities

• Lead key components of the annual SOX 404 lifecycle across the U.S., from risk assessment and scoping through testing, deficiency evaluation and remediation.
• Maintain and enhance the ICFR framework, including process narratives, flowcharts, risk-control matrices (RCMs) and control ownership.
• Lead control design and operating-effectiveness testing, including hands-on testing and review of work performed by others.
• Assess control deficiencies against financial-reporting risk and support appropriate remediation.
• Partner with Finance, Treasury, Operations, Technology and Front Office stakeholders to strengthen control design, ownership and accountability.
• Support annual SOX risk assessment and scoping across significant accounts, financial-statement line items, processes, entities and IT general controls.
• Evaluate controls involving information used in controls (IUC), end-user computing (EUC) and management review controls.
• Coordinate IT application controls and SOC 1/SOC 2 reviews with Technology.
• Act as a primary contact for external auditors on SOX matters, including testing, timelines, findings and issue resolution.
• Support management's SOX certification process and provide clear reporting on program status, key risks and remediation.
• Help identify opportunities to use technology and AI to improve control execution and SOX-program efficiency.

Job description

Taylor Root partners with a global, publicly traded financial services organization to appoint a SOX & Internal Controls Manager for its Americas business. This senior, hands-on role owns the SOX 404 and ICFR program across the U.S., driving maturity of the control environment within a complex, regulated platform.

The successful candidate will interact with Finance, auditors and senior management, expanding ownership beyond testing and shaping control design, testing and remediation.