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Core Skills

Job Description for SOX Work Evidence Collection Specialist

Position Overview

The SOX Work Evidence Collection Specialist is responsible for ensuring the company's compliance with the Sarbanes-Oxley Act (SOX) by meticulously collecting, analyzing, and documenting all necessary evidence related to financial reporting and internal controls. This role is critical in maintaining the integrity and accuracy of the company's financial statements and ensuring that all SOX compliance requirements are met.

Key Responsibilities

1. Evidence Collection and Documentation

·       Gather and organize all relevant documentation that supports the company's internal controls over financial reporting (ICFR).

·       Ensure that all collected evidence is accurate, complete, and in compliance with SOX requirements.

·       Maintain detailed records of all evidence collected, including the source, date of collection, and any relevant notes or observations.

2. Compliance and Internal Controls

·       Collaborate with various departments to understand and document internal controls and processes.

·       Assist in the design and implementation of effective internal controls to mitigate risks and ensure compliance with SOX.

·       Perform regular reviews and testing of internal controls to ensure their effectiveness and identify any deficiencies or weaknesses.

3. Reporting and Communication

·       Prepare detailed reports on the status of SOX compliance and any identified issues or concerns.

·       Communicate findings and recommendations to management and other relevant stakeholders.

·       Provide guidance and training to employees on SOX compliance and the importance of accurate evidence collection.

4. Continuous Improvement

·       Stay current with changes in SOX regulations and best practices in internal controls and evidence collection.

·       Identify opportunities for process improvements and implement changes to enhance the efficiency and effectiveness of the evidence collection process.

·       Participate in regular audits and assessments to ensure ongoing compliance with SOX requirements.

Qualifications

Education and Experience

·       Bachelor's degree in Accounting, Finance, or a related field. A master's degree or professional certification (e.g., CPA, CIMA) is preferred.

·       At least 3-5 years of experience in accounting, auditing, or compliance, with a focus on SOX compliance and internal controls.

·       Experience in evidence collection, documentation, and analysis is highly desirable.

Skills and Competencies

·       Attention to Detail: Ability to meticulously collect, document, and analyze evidence to ensure accuracy and compliance with SOX requirements.

·       Analytical Skills: Strong analytical skills to identify risks, deficiencies, and opportunities for improvement in internal controls.

·       Communication Skills: Excellent written and verbal communication skills to effectively convey findings and recommendations to management and other stakeholders.

·       Organizational Skills: Strong organizational skills to manage multiple tasks and priorities in a fast-paced environment.

·       Problem-Solving Skills: Ability to think critically and creatively to develop solutions to complex compliance issues.

·       Technical Proficiency: Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint) and familiarity with audit and compliance software/tools.

Work Environment and Physical Demands

·       This position typically operates in a professional office environment and routinely uses standard office equipment such as computers and phones.

·       Physical demands include prolonged periods of sitting at a desk and working on a computer.

Performance Metrics

·       Timeliness: Ability to meet deadlines for evidence collection, documentation, and reporting.

·       Accuracy: Ensuring that all collected evidence is accurate, complete, and compliant with SOX requirements.

·       Quality of Reports: Producing clear, concise, and insightful reports on SOX compliance status and findings.

·       Stakeholder Feedback: Positive feedback from management and other stakeholders on the effectiveness of communication and collaboration.

·       Continuous Improvement: Demonstrating a commitment to continuous improvement by identifying and implementing process enhancements.