VP, SOX & Internal Controls: Lead & Elevate Compliance

Broadridge; New York (NY); On-site; USD 240,000 - 275,000; Full time

Job summary

Broadridge is seeking a VP to lead the SOX Compliance and Internal Controls program, directing a three-person team and serving as the main liaison to audits. You will govern scope, testing, and documentation while driving improvements and automation across controls.

The role requires senior-level judgment, strong communication with leadership, and the ability to manage multiple priorities in a fintech-like environment.

Qualifications

• Bachelor’s degree in a related field is required.
• CPA/CIA/CISA or similar certification strongly preferred.
• 12+ years leading SOX compliance or internal-control programs in a public company.
• Experience with Optro (Audit Board) technology preferred.
• Proven ability to lead a PMO, manage testing, and drive remediation.

Responsibilities

• Lead SOX PMO, manage a three-person team, and drive governance.
• Own annual SOX program plan, calendar, and reporting with senior stakeholders.
• Coordinate internal and external audit testing and issue remediation.
• Oversee documentation, risk assessment, and control design evaluations.
• Advance program enhancements, automation, and reporting capabilities.

Skills

Leadership

Project management

Communication skills

Stakeholder management

Attention to detail

Team development

Education

Bachelor’s degree in Accounting, Finance, Business, Information Systems, or related field

CPA, CIA, CISA or similar certification preferred

Tools

Optro (Audit Board)

Job description

Broadridge is seeking a VP to lead the SOX Compliance and Internal Controls program, directing a three-person team and serving as the main liaison to audits. You will govern scope, testing, and documentation while driving improvements and automation across controls.

The role requires senior-level judgment, strong communication with leadership, and the ability to manage multiple priorities in a fintech-like environment.