Senior Auditor, SOX Compliance at CI Financial in Toronto, ON

JOB OVERVIEW

The SOX Compliance Program is tasked with the Company's global compliance with the provisions of Section 404 of The Sarbanes-Oxley Act of 2002 ("SOX"), and ultimately, supporting the certification that our internal control environment is operating effectively. The SOX Compliance function reports to the SVP and Chief Internal Auditor and Chief Risk Officer.

We are currently seeking a Senior Auditor, SOX Compliance to join our Corporate team. The Senior Auditor, SOX Compliance reports directly to the Director, SOX Compliance. In this role, the successful candidate will actively participate in and assist with the annual SOX 404 risk assessments and scoping of accounts. The role will assist the Director, SOX Compliance in assessing the adequacy and completeness of controls and processes and undertake the annual testing of controls. In addition, the candidate will work with the business units throughout the year to ensure controls and processes continue to be effective to support the annual certification. This role will also assist the Internal Audit team with the execution of the annual internal audit plan as required.

WHAT YOU WILL DO

• Review annual SOX financial statement mapping, risk assessment and scoping process to ensure adequate scope and testing of the Company’s financial statements and set materiality thresholds
• Coordinate and maintain management’s SOX process controls documentation and review controls regularly to ensure adequate design and identification of key controls for processes that affect the company
• Continuously evaluate current set of in scope controls and recommend ways to rationalize and optimize controls through automation
• Develop detailed test plans and facilitate required remediation
• Track and work with Internal Audit to manage the status of periodic testing of internal controls against audit timelines and schedules
• Consult on new business initiatives, system implementations, accounting policy changes, personnel changes and acquisitions and assess the impact of the changes on internal controls
• Assist in the coordination and receipt of SOC1 reports from third party providers and work with management to identify and document controls necessary to rely upon such reports
• Liaise with Internal and External Audit and proactively coordinate the audits to ensure coordination of the PBC request process to minimize the impact on the business and align test results
• Support the preparation of material, presentations, and other documentation as required for periodic management and Audit Committee meetings
• Continuously work to enhance the SOX program to become more efficient and effective
• Conduct internal audits and/or special reviews of controls and procedures in accordance with risk-based audit plan for design and effectiveness of internal controls as needed
• Draft audit reports for review
• Perform other tasks as required
• Keep up to date on industry and business trends significant to the profession and the organization

WHAT YOU WILL BRING

• Bachelor’s degree required
• 5 years of experience in financial reporting or internal auditing
• Prior SOX experience an asset
• Big 4 Public Accounting experience preferred
• Certification such as CPA, CISA or CIA
• Strong organizational, analytical, and critical thinking skills
• Ability to work productively and independently in a team environment