SOX Readiness Manager

About the role

The SOX Readiness Manager will support a high-profile financial services transformation initiative, playing a critical role in preparing a newly formed publicly traded banking organization for SOX compliance and ongoing regulatory requirements.

Responsibilities

• Lead SOX readiness activities, including risk assessments, control design, documentation, and implementation planning.
• Conduct detailed process walkthroughs with business, finance, operations, compliance, and technology stakeholders.
• Develop and maintain process narratives, flowcharts, risk and control matrices (RCMs), and supporting compliance documentation.
• Identify key business, financial reporting, operational, and IT risks and recommend appropriate control activities.
• Evaluate the effectiveness of existing controls and identify gaps requiring remediation prior to SOX implementation.
• Partner with management to design and implement new internal controls aligned with regulatory and public company requirements.
• Oversee remediation activities related to control deficiencies and monitor progress through completion.
• Facilitate discussions with senior leadership regarding control frameworks, governance structures, and compliance readiness.
• Collaborate with cross-functional teams supporting acquisition integration, business transformation, and public company preparedness initiatives.
• Assist with establishing documentation standards, testing methodologies, and compliance monitoring processes.
• Provide project updates, risk assessments, and readiness reporting to stakeholders and project leadership.
• Support external auditors, internal audit teams, and compliance functions as needed throughout the readiness process.
• Mentor junior consultants and contribute to the overall success of the project team.

Requirements

• Bachelor's degree in Accounting, Finance, Business Administration, Information Systems, or a related field.
• 7+ years of experience in SOX compliance, internal audit, risk advisory, internal controls, or financial consulting.
• Demonstrated experience leading SOX readiness, IPO readiness, public company preparedness, or controls transformation initiatives.
• Strong knowledge of SOX 404 requirements, COSO framework, internal control design, and risk management concepts.
• Prior experience within the financial services, banking, fintech, or regulated financial institution environment.
• Prioritizing experience identifying control gaps and managing remediation efforts across multiple business functions.
• Strong project management and stakeholder management skills in complex, fast-paced environments.
• Excellent verbal and written communication skills with a polished, client-facing presence.
• Able to work independently while managing multiple priorities and deadlines in a remote consulting environment.
• Availability to support at least 20 hours per week during Eastern Time Zone business hours.
• Advanced proficiency with Microsoft Excel, Word, PowerPoint, and internal controls documentation tools.

Preferred Qualifications

• CPA, CIA, CISA, CRMA, or other relevant professional certification.
• Prior Big 4 accounting or advisory experience.
• Experience supporting public company compliance programs within the banking or financial services sector.
• Background in merger integration, acquisition-related controls assessments, or organizational transformation projects.
• Familiarity with IT general controls (ITGCs), cybersecurity controls, and technology risk management.
• Experience developing SOX programs from the ground up.
• Prior consulting experience within a client-facing professional services environment.