AVP - Risk and Compliance (SOX) Program Manager

Axos Business Center, Corp

About This Job

About This Job
The SOX Manager oversees and enhances the organization's compliance with the Sarbanes-Oxley Act (SOX). This role involves evaluating scope and materiality, performing risk assessments and leading internal controls testing, and SOX compliance initiatives to ensure regulatory adherence and operational efficiency. The ideal candidate has strong audit, accounting, and risk management expertise, along with the ability to collaborate across departments.

Responsibilities:

• Support the annual enterprise SOX risk and control assessment program
• Partner with control owners to identify, design and conduct the management assessment of internal controls including supporting updates and/or creation of control documentation (e.g., narrative, process flows)
• Lead quarterly SOX certifications to demonstrate management’s evaluation of internal controls to support SEC filing including financial statements, notes and supplemental disclosures are reliable.
•  Assess processes, risks, and controls to identify risk and control gaps as well as improvement opportunities
• Report on risk assessments, control design and effectiveness, and any significant changes n internal controls or other factors that could significantly affect internal controls
• Document, track, and validate for closure any corrective actions with regard to significant deficiencies or material weaknesses
• Provide support and assistance to groups performing SOX functions throughout the Company
• Establish and maintain good working relationships with business groups and help address internal control related SOX issues
• Support process improvement and control optimization projects
• Provide advice and counsel to management on internal controls
• Execute on special projects and other assignments as requested
• Liaise with internal/external auditors, consultants, and regulators
• Support control owners in the preparation and execution of the annual SOX testing plan
• Perform tests of design and support the testing of operating effectiveness
• Assist with the management of other audits (e.g., Operational Audits) as needed

Qualifications:

• Bachelor's Degree in Accounting, Management Information Systems, Finance, or related field
• CPA, CIA, or CISA preferred
• 4+ years' experience in accounting and/or auditing at a public accounting firm or a publicly traded company performing SOX related tasks
• 2+ years experience managing a SOX program

Proficient with Archer, FloQast, iGrafx, MS Office 360

About Axos

Born digital-first, Axos delivers financial tools and services that allow individuals, small businesses, and companies to access and manage their money how, when, and where they want. We’re a diverse team of dynamic, insightful, and independent innovators who are excited to provide technology-driven solutions that offer unbeatable value to our customers.

Axos Financial is our holding company and is publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).

Learn More about working at Axos Business Center

Pre-Employment Background Check, Medical, and Drug Test:

All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment medical and drug screening. 

Equal Employment Opportunity:

Axos is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state, and local laws.

Job Functions and Work Environment:

While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.

The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.