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VP, SOX Compliance and Internal Controls Leader
Broadridge. Lead the Company’s SOX program and overall internal control framework .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Expertise in leading SOX compliance programs and internal control frameworks, with a strong focus on governance, methodology, and team management. Proven ability to enhance SOX processes through automation and effective stakeholder communication in a fast-paced fintech environment.
Highest-signal resume keywords
SOX Program LeadershipInternal Controls ManagementTeam Development and CoachingStakeholder ManagementSOX Process Automation
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
SOX ComplianceInternal AuditFinancial Risk ManagementControl Deficiency AssessmentTesting CoordinationMethodology DevelopmentDocumentation StandardsApplication ControlsComplex Systems EnvironmentsGovernance Model
Soft Skills
Project ManagementCommunication SkillsAttention to DetailCollaborative LeadershipInfluencing Skills
Tools & Technologies
Optro (Audit Board)SOX PMO ToolsAutomation TechnologiesAI in SOX ProcessesTesting Tools
Certifications & Qualifications
CPACIACISA
Industry Keywords
Public Company EnvironmentFintechTechnology ControlsGovernance StakeholdersManagement Attestations
About the role
Key responsibilities & impact- Lead the Company’s SOX program and overall internal control framework
- Own the end-to-end design, governance, scope, methodology, and related SOX program documentation
- Directly lead a team of three SOX professionals
- Serve as the primary liaison to Internal Audit and external audit
- Coordinate testing activities with the Internal Audit SOX testing team
- Review observations and exceptions, monitor progress, and formulate management conclusions regarding design and operating effectiveness
- Lead and continuously enhance the SOX PMO, including team management, development, and prioritization
- Own the annual and ongoing SOX program plan, governance model, calendar, deliverables, escalation protocols, and status reporting
- Present SOX status, conclusions, deficiencies, remediation progress, scope changes, and emerging risks to senior management and governance stakeholders
- Oversee documentation supporting management’s SOX assessment and conclusions
- Lead SOX process automation, AI, and maturity initiatives, including leveraging testing in other areas such as SOC
- Deliver training and guidance to control owners
- Establish and enhance SOX methodology, including RCM standards, sampling policy, deficiency evaluation framework, and quarterly management attestations
- Maintain responsibility for SOX scoping, including significant accounts and disclosures, applications, interfaces, controls, spreadsheets, entity-level controls, and outsourced service providers
- Oversee process narratives, RCMs, control descriptions, evidence standards, and other SOX documentation
- Monitor and co-lead walkthroughs with Internal Audit and Deloitte
- Coordinate with Deloitte and Internal Audit on audit planning, testing approach, timing, reporting, and test-script changes
- Monitor testing progress, identify timeline risks, and drive escalation
- Review Internal Audit reports and testing results and evaluate implications for management’s SOX assessment
- Conclude on design and operating effectiveness based on management assessment and Internal Audit testing
- Lead control-deficiency assessment, aggregation, severity assessment, management conclusions, and escalation
- Partner with process and control owners on remediation plans, ownership, due dates, and execution monitoring
- Escalate significant remediation risks, overdue actions, and matters affecting SOX conclusions
Requirements
What you’ll need- Bachelor’s degree in Accounting, Finance, Business, Information Systems, or a related field
- CPA, CIA, CISA, or similar professional certification strongly preferred
- 12+ years progressive experience leading SOX compliance, internal controls, internal audit, external audit, or financial-risk programs within a public company environment
- Experience in a publicly traded fintech, technology, or similar environment strongly preferred
- Experience with Optro (Audit Board) technology strongly preferred
- Demonstrated experience leading a SOX PMO or comparable internal-controls function, including ownership of scope, methodology, testing coordination, deficiencies, remediation, and conclusions
- Experience with technology-dependent controls, application controls, interfaces, spreadsheets, and complex systems environments
- Experience leading program enhancements, automation, or maturity initiatives for SOX and internal controls processes
- Demonstrated ability to lead, coach, and develop a high-performing team
- Exceptional project-management, stakeholder-management, and communication skills, with the ability to influence senior leaders and control owners
- Sound judgment, strong attention to detail, and the ability to manage multiple priorities in a fast-paced fintech environment
- Ability to translate technical control and audit matters into clear business decisions and management actions
- Collaborative leadership style paired with the confidence to challenge, prioritize, and drive accountability
Benefits
Comp & perks- Bonus eligible
- 20% annual individual target bonus (MBO/Corporate)
- Comprehensive benefit offerings
- Equal employment opportunities
- Reasonable accommodations during the application and/or hiring process