AVP, Controllership - Senior SOX Compliance (L11)

Draper, UT, United States

Job ID: 1800001160

Role Summary/Purpose:

This position is responsible for creating and executing a strategy for monitoring activities that are critical for complying with Sarbanes-Oxley Act (SOX) requirements and meeting other Controllership objectives.  This role will require close partnership with key Controllership leaders and cross-functional business teams across the organization.  There is high visibility with this position and the right candidate represents core values such as leadership, candor, productivity, responsiveness, agility and collaboration.  Success in this role is attained through superior communication skills, effectiveness in gaining cross-team alignment and nimbleness in creating innovative solutions.  The position involves transforming observations and conclusions from periodic reviews into recommendations for process improvements and actions that will address all Controllership risk exposure.  The position requires extensive interaction and communication with senior leadership to articulate observations and support recommendations.

Essential Responsibilities:

  • Independently and effectively plan, perform, evaluate and communicate SOX 404 compliance efforts and deliverables
  • Continuous evaluation and assessment of internal control environment, remediation efforts and process enhancements (including IT and automation)
  • Utilize understanding of the COSO 2013 framework and SEC/PCAOB regulations to design and monitor an effective risk-based control environment
  • Employ critical thinking skills to evaluate interrelated risks and controls throughout various processes to assess the severity of breakdowns and effectiveness of solutions
  • Draw on background expertise and proven project management skills to employ leading practices in developing and implementing a cross-process monitoring framework
  • Engage with leaders across all lines of defense in developing monitoring activities and resolution plans that consider various perspectives and areas of emphasis
  • Create and execute a risk-based strategy for the monitoring and review of critical controllership activities
  • Act as central managing contact for the tracking and resolution of all issues that are identified in Controllership, isolating control breakdowns and root causes to draw connections for comprehensive solutions
  • Project confidence in articulating detailed observations and recommendations to senior leadership
  • Perform other duties and/or special projects as assigned


  • Bachelor’s degree in Accounting or Finance or in lieu of degree, 7 years equivalent experience.
  • 2+ years of Audit, Testing, Internal Control, Quality or other Assurance function with knowledge of SOX.

Desired Characteristics:

  • Master’s degree in Accounting or Finance or equivalent experience
  • Public accounting experience (Big 4 preferred)
  • Internal control experience with a Fortune 500 company
  • Experience in the financial services industry
  • Experience in controllership or financial services industry
  • Demonstrated team player with ability to use personal influence and credibility to achieve results through cross-functional collaboration
  • Experience applying analytical skills and attention to detail
  • Proven ability to work independently and meet deadlines
  • Experience working in a fast-paced, changing environment
  • Excellent verbal and written communication skills
  • Strong project management skills         
  • Strong attention to detail
  • Ability to manage multiple & varied priorities
  • Exposure to consumer banking laws and regulations
  • Strong Microsoft Office skills
  • Excellent analytical and problem solving skills

Eligibility Requirements:

  • You must be 18 years or older
  • You must have a high school diploma or equivalent
  • You must be willing to take a drug test, submit to a background investigation and submit fingerprints as part of the selection process
  • You must be able to satisfy the requirements of Section 19 of the Federal Deposit Insurance Act.
  • Effective 1-1-18, new hires (Level 4-7) must have 9 months of continuous service with the company before they are eligible to post on other roles.  Once this new hire time in position requirement is met, the associate will have a minimum 6 months’ time in position before they can post for future non-exempt roles.  Employees, level 8 or greater, must have at least 24 months’ time in position before they can post.  All internal employees must have at least a “consistently meets expectations” performance rating and have approval from your manager to post (or the approval of your manager and HR if you don’t meet the time in position or performance requirement).

Legal authorization to work in the U.S. is required.  We will not sponsor individuals for employment visas, now or in the future, for this job opening. 

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. 

Reasonable Accommodation Notice:

  • Federal law requires employers to provide reasonable accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable accommodation to apply for a job or to perform your job. Examples of reasonable accommodation include making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment.
  • If you need special accommodations, please call our Career Support Line so that we can discuss your specific situation. We can be reached at 1-866-301-5627.   Representatives are available from 8am – 5pm Monday to Friday, Central Standard Time.

The salary range for this position is 70,000.00 - 150,000.00 USD Annual

Salaries are adjusted according to market in CA and Metro NY and some positions are bonus eligible.

Grade/Level: 11


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