Director of AI SOX Governance (REMOTE in USA)

Essential Responsibilities

• Ensure Ongoing SOX Compliance – Drive assessment and risk mitigation of key changes to the control environment and ensure SOX compliance.
• Support existing internal controls process to assess CRL technology initiatives for SOX impact and implementation of required changes to the control environment.
• Support SOX UK requirements to meet critical SOX deadlines.
• Framework Development - Design and implement an AI SOX governance framework aligned to the COSO Internal Control Framework.
• Develop a structured AI risk taxonomy, including risks related to data completeness and accuracy, model outputs and reliability, over-reliance and explainability.
• Establish control design standards for AI-enabled processes, including human-in-the-loop review controls, validation thresholds, and exception handling.
• Vendor & Outsourcing Controls - Design a third-party SOX controls framework for environments where SOC 1 reliance is limited or unavailable.
• Define and implement Complementary User Entity Controls (CUECs) and internal monitoring controls.
• Establish control expectations for outsourced operations, including segregation of duties, access and security, data transfer, and integrity.
• Develop governance processes to monitor vendor performance and control effectiveness.
• Control Implementation - Perform risk assessments for AI-enabled and outsourced processes. Design and implement manual and automated controls to mitigate identified risks.
• Partner with cross-functional stakeholders (Finance, IT, Data, Vendors) to ensure controls are embedded into processes.
• Support go-live readiness for AI and transformation initiatives by validating control design and execution.
• Control Monitoring & SOX Integration - Establish and execute ongoing monitoring activities for AI systems and vendor-managed processes. Perform or oversee control testing procedures, including validation of AI outputs and data integrity.
• Identify, track, and remediate control deficiencies, including root cause analysis and corrective actions. Integrate new controls into the broader SOX compliance program, including quarterly certifications and audit support.
• Governance & Stakeholder Engagement - Support governance leadership reporting related to AI, vendor, and transformation risks. Collaborate with internal audit, external auditors and controllership and finance leadership.
• Communicate complex risks in a clear manner, linking operational risks to financial reporting impact.
• Continuous Improvement - Enhance and mature AI and vendor control frameworks. Identify opportunities to improve control efficiency and effectiveness. Stay informed on emerging risks, regulatory expectations, and leading practices related to AI and outsourcing.
• Team Development – Lead and develop a high-performance team. Responsible for leading and developing a high performing team through effective goal setting, performance management, and ongoing coaching; establishing clear, measurable objectives aligned to SOX and enterprise transformation initiatives; providing timely feedback; supporting employee development; and ensuring accountability for results.

Qualifications

• Education: Bachelor’s degree (B.A. /B.S.) or equivalent in accounting or related discipline. Masters degree in Business Administration or Finance preferred.
• Experience: 10+ years of experience in: SOX compliance, internal controls, audit (Big 4 + industry).
• Certification/Licensure: CPA highly preferred.
• Experience with: COSO Internal Control Framework, financial processes, risk/controls, ERP systems (SAP, S4 Hana, etc.), Data platforms (e.g., Azure-based environments).
• Exposure to: AI / automation / data analytics initiatives, Third-party outsourcing environments (limited training will be provided).
• Familiarity with: AI risk concepts (e.g., data quality, model risk, explainability), Vendor risk management frameworks.