Manager, SOX Audit- Internal Audit

Exceed the expectations of our residential mortgage borrowers & business partners through superior service, simple processes, and effective communications.

We deliver on this mission by empowering our employees by encouraging and recognizing superior performance and innovative solutions, by promoting teamwork and divisional cooperation.

Primary Function

The Manager SOX Audit is a senior level Internal Auditor, responsible for completion of the annual Sarbanes-Oxley Act, (SOX) planning, execution, and testing, in addition to compiling and reporting results to management. This responsibility includes assisting with the identification of risk, assisting in the development of the internal SOX audit scope, performing SOX procedures, and preparing SOX reports reflecting the results of the work performed. The Manager SOX Audit will also be responsible for reviewing the workpapers of the SOX team. Work performed will include coverage of financial and operating units in the Corporate, Origination, Servicing, and technology centers for the Company.

Direct Reports

• Sr SOX Auditor

Principal Duties

• Perform functional audits, procedural reviews, and compliance testing as directed by the Head of Internal Audit and Director of Internal Audit.
• Responsible for managing SOX process and reviewing team workpapers being executed for SOX testing.
• Analyze and draw conclusions toward compliance, effectiveness, and efficiency of the SOX specific control environment, by preparing workpapers and audit reports that detail findings and recommendations.
• Document the results of audit work and applicable work papers in accordance with the audit departmental procedures.
• Evaluate and monitor established internal controls, policies, and procedures (both written and practiced) for adequate asset safeguards, control of risks, and compliance.
• Identify and complete non-standard procedures required to satisfy audit objectives based on field work or issues identified in the course of reviews.
• Examine general ledger entries for appropriate segregation and approval processes.
• Prepare written draft audit reports/memorandums to management detailing audits for management's review.
• Perform and document follow-up of auditee responses on prior audit and exam reports.
• Facilitate the documentation of all SOX remediation efforts as well as perform testing of remediation activities during and/or upon completion.
• Expand knowledge of all subsidiaries' departments through training programs, seminars, employee interaction, and publications. Continuously develop & expand internal audit skills as well as strengthen best practices.
• Assist external auditors and regulators with information compilation, retrieval, and reconciliations as directed by Internal Audit Management.
• Follow established policies and procedures throughout the company. Safeguard sensitive data and resources. Maintain strict confidentiality.
• Develop and train team members to develop their professional careers.
• Performs related duties as assigned by management.

Education and Experience

Required education and experience.

• Bachelor's degree required.
• 6-8 years' internal or external audit experience in the financial services industry required; concentration in mortgage industry preferred.
• Working knowledge of SOX auditing attained through 3-5 years of progressive work experience with a focus on financial risk and SOX regulatory requirements.
• Certified Public Accountant (CPA) or Certified Internal Auditor (CIA) preferred.
• Experience performing multiple audit projects and working with varying levels of experience among team members.
• 3+ years management experience, preferred.

Knowledge, Skills, and Abilities

Required knowledge, skills, and ability.

• Understanding of internal control concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions.
• High level of accuracy and attention to details.
• Strong analytical, organizational, critical thinking, and problem-solving skills.
• Ability to work independently, with limited required direction and guidance-May include supervision of auditors on projects to follow sound internal control practices and to manage risks appropriately.
• Strong verbal and written communication skills, including the ability to interact and relate to personnel at all levels within the organization and to effectively support and defend unbiased findings to management.
• Capable of leading or facilitating meetings with Director level (and higher) attendees.
• Advanced knowledge of Microsoft Office (PowerPoint, Excel, Word, etc.).
• Demonstrate proficiency of the technical aspects of accounting and financial reporting, meeting strict audit deadlines, with minimal errors.
• Ability to work in and assist in the development of a collaborative team environment.
• Some travel required.

Additional Information

While this description is intended to be an accurate reflection of the position's requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary.

All employees are required to have smart phones that meet Company security standards with the ability to install apps such as Okta Verify and Microsoft Authenticator. Employment will be contingent on this requirement.

By applying to this position candidate acknowledges that this is not a remote role and is required to be on-site.

Additional Information:

While this description is intended to be an accurate reflection of the position's requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary.

All employees are required to have smart phones that meet Company security standards with the ability to install apps such as Okta Verify and Microsoft Authenticator. Employment will be contingent on this requirement.

Company Benefits:

Newrez is a great place to work but we are only as strong as our greatest asset, our employees, so we believe in rewarding them

• Medical, dental, and vision insurance
• Health Savings