Investigation Analyst in Provider Risk at Manulife focusing on fraud prevention, detection, and investigation in the healthcare sector, working with internal teams and stakeholders.
About the role
- SOX Manager overseeing Sarbanes-Oxley compliance initiatives at Axos Bank. Responsible for internal controls assessment, risk management, and collaboration across departments.
Responsibilities
- Support the annual enterprise SOX risk and control assessment program
- Partner with control owners to identify, design and conduct the management assessment of internal controls including supporting updates and/or creation of control documentation (e.g., narrative, process flows)
- Lead quarterly SOX certifications to demonstrate management’s evaluation of internal controls to support SEC filing including financial statements, notes and supplemental disclosures are reliable.
- Assess processes, risks, and controls to identify risk and control gaps as well as improvement opportunities
- Report on risk assessments, control design and effectiveness, and any significant changes n internal controls or other factors that could significantly affect internal controls
- Document, track, and validate for closure any corrective actions with regard to significant deficiencies or material weaknesses
- Provide support and assistance to groups performing SOX functions throughout the Company
- Establish and maintain good working relationships with business groups and help address internal control related SOX issues
- Support process improvement and control optimization projects
- Provide advice and counsel to management on internal controls
- Execute on special projects and other assignments as requested
- Liaise with internal/external auditors, consultants, and regulators
- Support control owners in the preparation and execution of the annual SOX testing plan
- Perform tests of design and support the testing of operating effectiveness
- Assist with the management of other audits (e.g., Operational Audits) as needed
Requirements
- Bachelor's Degree in Accounting, Management Information Systems, Finance, or related field
- CPA, CIA, or CISA preferred
- 4+ years' experience in accounting and/or auditing at a public accounting firm or a publicly traded company performing SOX related tasks
- 2+ years experience managing a SOX program
- Proficient with Archer, FloQast, iGrafx, MS Office 360
Benefits
- Medical, Dental, Vision, and Life Insurance
- Paid Sick Leave, 3 weeks’ Vacation, and Holidays (about 11 a year)
- HSA or FSA account and other voluntary benefits
- 401(k) Retirement Saving Plan with Employer Match Program and 529 Savings Plan
- Employee Mortgage Loan Program and free access to an Axos Bank Account with Self-Directed Trading
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