3-5 years of experience
Concerned about your lack of experience? Learn More...
Employment Type:
Full time
Job Category:
SOX Audit Associate
(This job is no longer available)
Grad Date

Not sure what types of jobs you are interested in?

Explore Jobs
Based on Your Education

Follow This Company

Job Description

Company Overview

AB is a leading global investment-management and research firm with more than $500 billion in assets under management and a presence in 22 countries, with more than 3,400 employees worldwide. We serve clients ranging from institutions to individuals and private clients, and we offer independent research, portfolio strategy and brokerage-related services tailored to our clients' unique needs. With forward-looking perspective and expertise in equities, fixed-income, alternatives and multi-asset strategies, more than 500 investment professionals collaborate to share ideas and make connections across disciplines, geographies, asset classes and sectors. These collective insights drive innovation and better solutions, helping us keep our clients AHEAD OF TOMORROW®..

Group Description:

The SOX Testing Unit of Internal Audit is the dedicated internal resource responsible for identifying and evaluating the effectiveness of the key controls presented by management as part of the Sarbanes Oxley ("SOX") 404 certification processes. This position is an opportunity for experienced professionals to join a dynamic team to deliver value added services.

As a member of AB's SOX Testing Unit Internal Audit Department, experienced hires are expected to demonstrate proficiency in evaluating controls. This position offers exposure to all levels of management.


The SOX Auditor will work as a member of the SOX testing team to perform effectiveness testing of key control activities to ensure compliance with control objectives and the effective operation of internal controls over financial reporting (ICOFR). They will assist in the continued refinement, timely completion, and ongoing maintenance of all SOX 404 documentation (process flows, narratives and risk matrices).

Specific Responsibilities

The SOX Auditor:

Assist the SOX Supervisors in executing and overseeing the annual SOX 404 documentation and testing by the following means:Execute internal control testing in support of the SOX compliance program. Assess effectiveness of application controls and key reports relating to business processesCreate and execute test procedures and document test results in accordance with work paper guidelines. Prepare work papers to ensure consistency between test objectives, evidence obtained and test results. Keep management apprised of testing status and escalate exceptions / key issues for review. -Coordinate and / or participate in process walkthroughs with management (process owners) to review all existing key controls. Assist management in updating current process documentation over internal controls, and actively partner with management to ensure effective controls are in place to address key IT, business and financial reporting risks. Maintain an effective and efficient planning, execution and coordination of work between testing team and process owners across the organization;Advise management on effective control design, test results and related assessments supporting the firm's compliance efforts; Continuously report SOX testing related progress and results to Senior SOX Auditor and SOX SupervisorEnsure that deliverables are completed in a timely and accurate fashion. Assist with special projects as needed.Develop and maintain a professional relationship with client personnel.

Job Expectations:

Keep current as to the development of relevant industry, regulatory, and corporate matters that may affect the SOX 404 scope and testing plans. Participate, as appropriate, in professional associations

What makes this role unique or interesting?

* Obtain a wholistic understanding of multiple technologies, systems and platforms utilized by AB.
* Exposure to AB's top management and the ability to influence change and mitigate risk across the entire organization.
* Learn a variety of technologies in order to test and remediate risks associated with those technologies.


This position requires:

* A college degree.
* At least two years Audit, SOX PMO, and/or SOX Testing experience for a large financial services firm required.
* Excellent interpersonal and communication skills essential
* Ability to interact with senior and executive level management on a regular basis
* Work primarily out of Nashville office but have the flexibility to travel to other AB offices when necessary
* Professional certification preferred