SOX Assessment Leader

1 week ago

New York, New York, United States American Express Full time
About the Role

We are seeking a seasoned professional to lead our SOX Governance team as a Director, SOX Governance. As a key member of our Risk and Compliance organization, you will be responsible for ensuring the effective implementation and maintenance of our SOX control environment.

Key Responsibilities
  • SOX Control Environment Leadership
    • Develop and implement strategies to improve the effectiveness of our SOX control environment.
    • Lead the review, assessment, and escalation of SOX control deficiencies to senior management and the Disclosure Committee.
  • Process Governance
    • Establish and maintain robust decision-making processes that align with policies, regulatory frameworks, and operational standards.
    • Oversee the remediation process, including tracking progress, validating resolution efficacy, and communicating status updates to stakeholders.
  • Operational Risk Management
    • Analyze trends in issues and events to identify potential systemic risks or control weaknesses within Finance processes.
    • Proactively address areas of opportunity between 2nd line framework policies and the needs of the SOX issue management program.
  • Stakeholder Engagement
    • Engage with key stakeholders, including business unit leaders, 2nd line, and external auditors to facilitate effective issue management and resolution.
    • Prepare and present reports on issue status, trends, and outcomes for senior management and governance committees.
Requirements
  • 6 years of experience in operational risk management (e.g., within Risk and/or Internal Audit function) with a strong understanding of critical operational risk management lifecycle activities.
  • Strong understanding of financial reporting risk and requirements of the Sarbanes-Oxley act as well as internal control frameworks (e.g., COSO).
  • Analytical skills with the ability to identify control deficiencies and recommend improvements, as needed.
  • Excellent project management, communication, and interpersonal skills, with an ability to interact and obtain buy-in from senior BU/tech counterparts.
  • Experience and understanding of application controls.
  • Expertise in process governance, with a track record of establishing and overseeing robust decision-making processes that align with policies, regulatory frameworks, and/or operational standards.
  • Demonstrated history and ability to manage large teams, spread over geographies and with varying backgrounds.
Preferred Qualifications
  • Bachelor's Degree in Finance, Business, Risk Mgmt., or related field; advanced degrees (e.g., MBA, MSc) or certifications are advantageous.
  • Experience in at least one of the following:
    • Scoping, prioritizing, and support remediation of SOX issues.
    • Investigating and conducting root cause analysis to address repeated operational risk issues.
    • Performing quality assurance on documentation of operational risk issues and events.
    • Overseeing the remediation process for operational risk issues and events.
    • Documenting and maintaining records of SOX issues and events to ensure transparency and accountability.
    • Supporting and overseeing the E2E issue resolution process, embedding accountability and ensuring lessons learned are integrated into future operational risk management practices.
    • Experience in financial reporting, accounting or auditing within a public company environment is strongly preferred.
About American Express

At American Express, we believe that our colleagues are our greatest asset. We offer a comprehensive benefits package, including competitive base salaries, bonus incentives, 6% Company Match on retirement savings plan, free financial coaching and financial well-being support, comprehensive medical, dental, vision, life insurance, and disability benefits, flexible working model with hybrid, onsite or virtual arrangements depending on role and business need, 20 weeks paid parental leave for all parents, regardless of gender, offered for pregnancy, adoption or surrogacy, free access to global on-site wellness centers staffed with nurses and doctors (depending on location), free and confidential counseling support through our Healthy Minds program, and career development and training opportunities.

Why Join Us?

We back our colleagues with the support they need to thrive, professionally and personally. We have Amex Flex, our enterprise working model that provides greater flexibility to colleagues while ensuring we preserve the important aspects of our unique in-person culture.

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