SOX and Internal Controls 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

SOX & Internal Controls Manager – Financial Services

Chicago, IL | On-Site

Taylor Root is partnering with a global, publicly traded financial services organization to appoint a SOX & Internal Controls Manager for its Americas business.

This is a senior, hands-on role with significant ownership of the organization’s SOX 404 and internal control over financial reporting (ICFR) program. The successful candidate will help drive the continued development and maturity of the control environment across a complex, regulated financial-services platform.

The role combines technical SOX expertise with direct interaction across the business, external auditors and senior management.

This opportunity is well suited to someone who has helped build, remediate, transform or mature a SOX/ICFR environment and wants broader ownership than a traditional testing-focused position.

What you'll own

• 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.

What we’re looking for

• 7+ years of SOX, ICFR, financial‑controls or audit experience, gained through an in‑house controls function, Internal Audit, external audit/Big Four or a combination.
• Strong working knowledge of SOX Sections 302 and 404, ICFR, control design and operating effectiveness, and PCAOB auditing standards.
• Meaningful experience within financial services. Experience in a broker‑dealer, banking, asset management, trading or other regulated financial institution is particularly relevant.
• 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