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Principal SOC Compliance Advisor

2 months ago

Minneapolis, Minnesota, United States BDO Full time

Job Overview:

The Senior Assurance Specialist for Third Party Attestation is tasked with the development of third-party attestation documentation, which encompasses System and Organization Controls (SOC) 1, SOC 2, SOC 3, SOC for Cybersecurity, and WebTrust for Certification Authorities, along with HITRUST, SSPA, ISO, MRC, and CSA STAR. This role requires a comprehensive understanding of the relevant governing standards and the ability to document, validate, test, and evaluate various control frameworks, including internal controls. Our specialists in Third Party Assurance focus on these specific domains to grasp the complete technology risk landscape rather than just possessing general knowledge in Information Technology General Control (ITGC) audits or IT audits.

Key Responsibilities:

Control Framework:

Utilize expertise to enhance the effectiveness of specific policies and procedures by: Assessing applicable policies, laws, and regulations relevant to the firm and its regulators. Proposing constructive improvements to client internal controls and accounting practices. Documenting and validating the operational effectiveness of clients' internal control frameworks. Overseeing and reviewing the contributions of junior staff. Documenting business and IT processes and controls while testing essential controls for service organizations across diverse sectors. Identifying and prioritizing significant risks and evaluating their potential impact and likelihood. Communicating recommendations to clients for process enhancements, control strengthening, risk mitigation, and efficiency improvements. Cultivating and maintaining professional relationships with client personnel and management; and Ensuring the integration of technology into the examination process.

Professional Standards:

Demonstrate knowledge of professional standards and apply principles during engagements by: Developing a solid understanding of auditing principles, maintaining audit skepticism, and utilizing BDO audit manuals. Applying auditing principles to various client scenarios. Documenting working papers and attestation reports in accordance with BDO policies, identifying discrepancies, and notifying senior team members for necessary approvals. Recognizing situations where testing may be adjusted and informing senior team members accordingly; and Contributing insights and perspectives to the engagement team.

Additional Duties:

Implement knowledge of governing principles to client transactions and document understanding by: Planning and executing attestation examinations, which include understanding the control environment, designing test plans, evaluating deficiencies, and assessing the overall financial reporting control environment. Reviewing client reports for accuracy and completeness, ensuring all supporting documentation is included in workpapers and through appropriate testing. Preparing necessary communications for clients and the Audit Committee, as required. Recognizing and applying new standards to client situations. Identifying complex issues and escalating them to superiors for resolution. Mentoring less experienced team members in new areas.

Methodology:

Apply BDO standards to ensure effective and efficient delivery of quality services by: Completing all required documentation of BDO work papers; and Ensuring assigned tasks are performed in accordance with BDO methodologies and requirements.

Research:

Utilize methodologies to seek and maintain information from authoritative sources and draw conclusions on target issues by: Researching basic and intermediate accounting topics and forming initial opinions independently. Other responsibilities as assigned.

Supervisory Duties:

Provide verbal and written performance feedback to Associates on assigned engagement teams. Oversee the work assignments of Associates on assigned engagement teams. Additional responsibilities as assigned.

Qualifications, Skills, and Competencies:

Education:

Bachelor's degree in Accounting, Computer Science, Management Information Systems, Business Administration, Managerial Marketing and Entrepreneurship, Finance, or Economics is required. A Master's degree in Accounting with a minor or dual major in Information Systems or another relevant advanced degree is preferred.

Experience:

Over two (2) years of relevant experience in IT, internal or external audit is required. Over one (1) year of supervisory experience is preferred. Experience in conducting internal control reviews is preferred. Experience with SOC, WebTrust, HITRUST, SOX, ISO 27001, and security/privacy advisory engagements is preferred.

Certifications:

One or more of the following certifications are preferred: Certified Public Accountant (CPA), Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), ISO 27001 Lead Auditor certification, HITRUST Certified Common Security Framework Professional (CCSFP), Certified Internal Auditor (CIA), Certified Information Security Manager (CISM), Certified Ethical Hacker (CEH), Certified in Risk and Information Systems Control (CRISC), Certified in the Governance of Enterprise IT (CGEIT).

Software Proficiency:

Proficiency in Microsoft Office Suite, particularly Word, Excel, and PowerPoint, is required. Prior experience with various applications (e.g., ERP systems), operating systems (e.g., UNIX, Windows), and databases (e.g., Oracle, SQL) is preferred. Familiarity with cloud platforms, SaaS applications, security and engineering tools, and other industry software is preferred.

Additional Knowledge, Skills & Abilities:

Basic understanding and experience in planning and coordinating technology-focused audits and assessments. Knowledge of internal controls and professional standards and regulations (SOC, ISO, WebTrust, HITRUST, Sarbanes-Oxley, etc.) Knowledge of data analytics and emerging technologies is desirable. Strong verbal and written communication skills with the ability to adapt style and messaging to effectively engage with professionals at all levels within the client organization and the firm. Ability to successfully manage multiple tasks while working independently and collaboratively. Solid analytical and diagnostic skills with the ability to deconstruct complex issues and implement suitable resolutions. Capable of thriving in a demanding, deadline-driven environment with a focus on detail and accuracy. Strong project management skills. Willingness to travel as necessary.

Individual compensation offered to candidates is determined after considering various factors, including but not limited to qualifications, experience, skills, and geographic location.

Compensation Range: $85,000 - $125,000 for California; $80,000 - $115,000 for NYC/Long Island/Westchester.