AVP, IT SOX Manager

Charlotte, NC, United States

Job Description:

Role Summary/Purpose:

The AVP, IT SOX Manager is primarily responsible for ensuring appropriate IT controls are identified and tested on a regular basis to comply with regulatory requirements. The position focuses on engagement planning, risk assessment, and execution of testing for control requirements with an IT focus. The role involves reporting to both internal and external stakeholders on the effectiveness of the IT control framework to mitigate operational, regulatory, and financial risks.

We're proud to offer you choice and flexibility. At Synchrony, our way of working allows you to have the option to work from home, near one of our Hubs or come into one of our offices. Occasionally you may be required to commute to our nearest office for in person engagement activities such as business or team meetings, training and culture events.

Essential Responsibilities:

Lead, develop and execute IT General Controls and IT application control testing and producing high quality deliverables according to departmental and professional standards while ensuring walkthrough and testing are completely timely and within budget.

Assist and support the Senior Manager in building the IT SOX program and develop a positive cross-functional relationship.

Identify control gaps and potential issues, discuss viable solutions with the business to address gaps, and obtain management action plans for remediation.

Communicate test results to leaders and other stakeholders throughout the business, and provide periodic updates to external auditors.

Document any exceptions/findings that are noted as part of design and testing phases. Ability to identify an issue/finding and communicate it to the Senior Manager in a timely manner.

Interact and collaborate with stakeholders and process owners throughout the organization to implement necessary process and control modifications to mitigate operational, regulatory, and financial risks.

Provide interpretation and guidance to process owners regarding key risks and controls within the IT function.

Perform and document issue validation and close audit findings

Provide effective challenge to the business regarding the assessment of risks and controls within the IT function.

Coordinate with external auditors to align testing efforts and deliver testing workpaper that is meeting audit standards and guidelines, including testing control reliance and reach a conclusion.

Assist with conducting annual risk assessments to determine significant IT systems, platforms and applications in scope for SOX testing.

Perform other duties and/or special projects as assigned.

Qualifications/Requirements:

Bachelor's degree in Information Technology, Management Information Systems, Business Administration or an equivalent area of focus with minimum 4+ years of overall experience, or in lieu of a degree minimum 6+ years of overall experience

Minimum 4+ years of Big 4 accounting firm experience in IT SOX or 5+ years in the industry with SOX 404 regulatory requirements specific to the IT audit environment.

Strong understanding of Sarbanes Oxley Act Section 404 and control framework (COSO, COBIT) and auditing standards.

Strong technical IT auditing skills and ability to understand a complex environment with a large quantity of in-scope applications and various technology platforms.

Testing and other Assurance function specific to IT audit/control testing.

Desired Characteristics:

4+ years in Financial Services industry, with IT Audit focus

Familiar with Data Science or analytics tools and techniques, such as ACL, SAS, Pythons, etc.

Comprehensive understanding of a wide variety of technologies and systems, such as Windows, Linux, Oracle, SQL Server.

Strong Microsoft Office, including Excel, Word, PowerPoint, Outlook skills are required.

Relevant industry certifications - CISA, CISM, CISSP, CRISC, CGEIT

Demonstrated ability to communicate effectively with various levels of stakeholders

Proven effective time and project management skills by demonstrating the ability to manage and coordinate multiple projects and deadlines to ensure all assigned projects are being completed on time with high quality.

Ability to assess a situation/process and identify potential issues or risks and communicate observations to management.

Independent thinker and can critically think and present a solution to the management team.

Strong organization skills and interpersonal and team skills.

Strong ability to prioritize projects. Tracking progress of action plans, review, testing status and report to management.

Grade/Level: 10

The salary range for this position is 75,000.00 - 130,000.00 USD Annual and is eligible for an annual bonus based on individual and company performance.

Actual compensation offered within the posted salary range will be based upon work experience, skill level or knowledge.

Salaries are adjusted according to market in CA, NY Metro and Seattle.

Eligibility Requirements:

You must be 18 years or older

You must have a high school diploma or equivalent

You must be willing to take a drug test, submit to a background investigation and submit fingerprints as part of the onboarding process

You must be able to satisfy the requirements of Section 19 of the Federal Deposit Insurance Act.

New hires (Level 4-7) must have 9 months of continuous service with the company before they are eligible to post on other roles. Once this new hire time in position requirement is met, the associate will have a minimum 6 months' time in position before they can post for future non-exempt roles. Employees, level 8 or greater, must have at least 18 months' time in position before they can post. All internal employees must consistently meet performance expectations and have approval from your manager to post (or the approval of your manager and HR if you don't meet the time in position or performance expectations).

Legal authorization to work in the U.S. is required. We will not sponsor individuals for employment visas, now or in the future, for this job opening. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Our Commitment:

When you join us, you'll be part of a diverse, inclusive culture where your skills, experience, and voice are not only heard-but valued. We celebrate the differences in all of us and believe that our individual, unique perspectives is what makes Synchrony truly a great place to work. Together, we're building a future where we can all belong, connect and turn ideals into action. Through the power of our 8 Diversity Networks+ (https://www.synchronycareers.com/our-culture/#diversity) , with more than 60% of our workforce engaged, you'll find community to connect with an opportunity to go beyond your passions.

This starts when you choose to apply for a role at Synchrony. We ensure all qualified applicants will receive consideration for employment without regard to age, race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or veteran status.

Reasonable Accommodation Notice:

Federal law requires employers to provide reasonable accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable accommodation to apply for a job or to perform your job. Examples of reasonable accommodation include making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment.

If you need special accommodations, please call our Career Support Line so that we can discuss your specific situation. We can be reached at 1-866-301-5627. Representatives are available from 8am - 5pm Monday to Friday, Central Standard Time

Job Family Group:

Internal Audit