SOX Compliance Manager

Job Description

This job exists to support the evaluation of the Company’s Sarbanes Oxley Act (“SOX”) compliance program. The Sox Compliance Manager will manage the routine coordination of compliance related activities between the Company, our outside SOX advisors, and the external auditors. They will evaluate the Company’s SOX program and partner with functions across the company to ensure a strong environment for internal control over financial reporting (“ICFR”). They will manage updates to ensure maintenance of company-wide control standards, manage SOX testing/audit projects, and develop and deliver control-related training to process owners.

Qualifications

ESSENTIAL DUTIES AND RESPONSIBILITIES: Wdesko Responsible for developing a working knowledge of the application solution Workivia Wdesk.o Monitor the SOX Compliance Analyst as well as the internal process and control owners to ensure Wdesk activities are completed timely and provide Wdesk training as needed to SOX team members and internal process and control owners, external auditors, and third-party advisors and consultants.o Manage the development, deployment, and maintenance of electronic workpapers and templates to support timely testing and compliance activities. Documentationo Manage consistent and timely maintenance of SOX documentation, including internal control matrices, risk mapping, narratives, (and flowcharts where applicable).o Work closely with SOX team members and process and control owners to ensure control activities and related control attributes are appropriately documented and maintained. PBCso Manage the development and maintenance of supporting documentation request lists (also known as provided by client (PBC) lists) in coordination with the SOX team, external auditors, third party advisors, and internal process and control owners.o Manage the PBC process to ensure PBC requests are deployed and received timely, and work with control owners to ensure sufficient and appropriate support is provided timely. Testingo Perform, and/or Review test work performed by others, including both test of design (walkthroughs) and test of effectiveness for manual business process controls and System and Organization Controls (SOC) reports, ensuring testing documentation is clear, concise, and timely.o Align testing attributes with the external auditor to ensure maximum reliance. Manage in coordination with the Director, SOX Compliance the testing process to ensure timely and efficient testing is completed on behalf of management to evaluate the effectiveness of ICFR.o Monitor internal team members and third-party advisors and track budget to actual results. Critically evaluate processes for design gaps and identify areas of potential improvements and suggest controls to mitigate identified risks. Exceptions/Deficiencieso Manage the Summary of Control Deficiency tracker to ensure it is complete and accurate and updated timely. Compile and document SAB99 and control deficiency memos as needed.o Timely raise potential exceptions/deficiencies in ICFR and work closely with Accounting team leadership, internal business process and control owners, third party advisors and others as needed, to evaluate deficiencies.o Manage the process to analyze, research, and document deficiencies, including root cause analysis, level of significance assessment and remediation plans. Manage the remediation plan communication process and ensure all remediation steps are tracked to completion. Manage the performance of remediation testing and follow up as needed. Sub-certificationo Manage the process to maintain, deploy and monitor timely responses to requests for sub-certifications. Coordinate with the Director SOX Compliance on exceptions raised and track to conclusion. Planning and budgetingo Assist the Director, SOX Compliance with annual planning and routine budget tracking. Monitor and track third party advisors and consultants’ budget to actual results.o Lead, under the supervision of the Director, SOX Compliance the annual Planning Risk Assessments, Fraud Risk Assessments, and COSO Mapping efforts to ensure timely completion of quality deliverables. Collaborate with the internal IT team and third-party IT consultants to encourage timely testing of IT general controls, IT Application Controls, and Key reports. Plan, manage and oversee the execution of process improvement audits and other audit activities as needed. Manage audits of travel and expense and accounts payable as needed. Support the goals and projects of the SOX team and the initiatives of the broader Accounting & Procurement and Finance organizations. Critically analyze financial statement impacts and operational impacts of identified control exceptions/deficiencies and recommend remediation plans, and compile and document SAB99 and control deficiency memos and monitor remediation to track to timely completion Critically review processes from a ICFR perspective, and collaborating with process owners to ensure timely design and implementation new controls and process improvements Educate process owners, including non-financial individuals, on the importance of SOX compliance and provide guidance to them when needed Plan, manage and oversee the execution of activities to ensure timeliness and quality of deliverables, and manage stakeholder expectations and effectively communicate to ensure proper actions have been taken to complete SOX milestones and goals timely

SUPERVISORY RESPONSIBILITIES: No supervisory responsibilities

EDUCATION/EXPERIENCE/KNOWLEDGE & SKILLS:Education: Bachelor’s degree in related discipline seven years of related experience; or Master’s degree in related discipline and five years of related experience; or Equivalent combination of education and experience CPA, CIA, or CFE certification strongly preferred

Experience: Recent public accounting firm experience auditing US exchange registered public companies Public company experience, including performing ICFR design and effectiveness testing Experience with ERP systems such as SAP preferred Experience with an e-workpaper tool such as Workivia Wdesk or similar preferred Experience with the pharmaceutical and biotech industries preferred

Knowledge/Skills: Strong understanding of current accounting (GAAP) and auditing (GAAS) principles and thorough knowledge of the Sarbanes-Oxley Act, the 2013 COSO framework and SEC guidance for management's assessment of internal controls over financial reporting A strong understanding of GAAP/GAAS, ICFR, SOX, the 2013 COSO framework, and SEC/PCAOB guidance for management's assessment of ICFR General knowledge of business process, including quote-to-cash, procure-to-pay, and general ledger accounting Understanding of governance including IT governance and COBIT preferred Exposure to IT compliance, including IT General Controls and IT Application Controls and key reports testing preferred Proficient in Microsoft Office suite applications, including Microsoft Excel, Word, PowerPoint Strong written and verbal communication skills, and strong presentation and public speaking skills

WORKING CONDITIONS: Environment: primarily working indoors in a clerical environment Sometimes required to work evenings or weekends for quarter end or year end Travel not required

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Additional Information

DISCLAIMER

The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to the job.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.