Senior, Financial Controls and Compliance

Position Information

$68,640 - $114,660

Primary Role

Administer and monitor the Company’s compliance with Sarbanes-Oxley Act (SOX) activities to ensure internal controls over financial reporting are designed and operating effectively

Key Accountabilities

• Run the day-to-day activities for SOX compliance.  This primarily includes collaborating with owners to ensure SOX Controls are designed and operating effectively for in-scope systems. 


• Ensure controls are submitted and completed timely by owners within SOX system.


• Maintain complete listing and monitor changes of key reports.


• Develop strong relationships with business process and information technology owners in coordinating SOX compliance.


• Assist in the review and assessment of control deficiencies, including development of remediation plans and determination of adequacy of mitigating controls.


• Serve as liaison with external/internal auditors to manage auditor request list for control testing and resolve questions on relevant control matters.


• Schedule and administer walkthrough and system observation meetings with internal and external auditors.


• Serve as administrator of the Company’s SOX compliance platform / database (Optro).


• Identify areas where internal controls can be optimized (e.g., shift toward preventive automated controls).


• Participate in special projects and initiatives upon management request, including those that would optimize the effectiveness of existing business applications, technologies and systems and build efficiencies/improvements into current business processes.


• Work on ad-hoc projects as needed.

Knowledge/Skills

• Strong knowledge of auditing, internal controls, risk assessment and SOX-related activities


• Strong written and oral communication skills, including proven ability to interact effectively with internal stakeholders, management and external professionals (i.e. auditors)


• Full, end-to-end ownership of assignments including, proactively engaging appropriate members to jointly resolve issues and communicate results


• Excellent analytical and problem-solving skills


• Strong interpersonal skills, with an emphasis on initiative, knowledge sharing, team building and decision making


• Prior experience working with Optro (previously known as AuditBoard) and SAP a plus

Experience/Education

• Bachelor’s degree in Accounting or Finance required.


• CPA preferred.


• 5+ years of relevant accounting or auditing experience required.


• Prior public accounting and/or internal audit experience a strong preference.


• Prior experience working in the utility industry a plus.

Travel Requirements

Competencies