SOX Manager

SOX Program Management

SOX Program Management is responsible for designing a governance and oversight program over Truist's internal controls over financial reporting and disclosure controls to ensure compliance with Sections 404 and 302 of the Sarbanes-Oxley Act of 2002 (SOX) and the Federal Deposit Insurance Corporation Improvement Act of 1991 (FDICIA). This includes executing risk assessment and scoping, providing guidance on SOX requirements for control and process documentation, obtaining reasonable assurance of the effectiveness of Truist's system internal controls over financial reporting through control design and operating effectiveness evaluations, identifying and assessing control deficiencies, risk and change monitoring, and other aspects of the SOX framework to keep pace with changes in the underlying business in support of Truist's Sarbanes-Oxley and FDICIA compliance efforts.

Responsible for executing a governance and oversight program that guides, monitors, evaluates, and reports on the effectiveness of internal control over financial reporting. Determines in-scope controls, applications, models, and infrastructure for annual Sarbanes-Oxley (SOX) testing. Responsible for providing guidance on SOX requirements for control/process documentation, testing, and issue management and other aspects of the SOX framework to keep pace with changes in the underlying business in support of Truist's Sarbanes-Oxley and FDICIA compliance efforts.

Provide guidance and support teammates to ensure proper execution of the program's deliverables. Serve as a SOX, risk and control Subject Matter Expert and advise business and risk partners, including control owners, issue owners and Governance Control Officers. Support highly complex and high visibility projects with elevated risk profile.

Identify and resolve technical, operational, risk management, business, and organizational challenges. Make leadership decisions within established policies & procedures. Execute program deliverables, track status and provide updates, including risk escalations via governance routines. Actively participate in SOX walkthroughs and/or process, risk, control discussions to ensure that key controls, applications, models, vendors and IT dependencies are identified.

Partner with other stakeholders but also effectively challenge to ensure appropriate controls are identified and documented sufficiently to mitigate ICFR risk. Perform quality assurance procedures of SOX control testing of design and operating effectiveness. Evaluate and finalize SOX testing findings, including understanding impacts, root causes, mitigants and broader implications of aggregated or cross-functional impacts. Identify process enhancement opportunities at the program level and at the control/process level. Continue developing strong risk management, audit approaches and techniques and internal control acumen as well as deep knowledge of organization, business and operations. Effectively engage with external audit partners to ensure robust planning, process streamlining, discussion and challenge.

Required Qualifications:

• Bachelor's degree in Finance or Accounting or equivalent education and related training.
• 5 years of relevant experience in internal audit, public accounting, or SOX/Risk compliance
• Excellent verbal and written communication skills
• Advanced analytical skills and the ability exercise judgment and solve complex problems
• Ability to work well independently and with others in a dynamic, team-oriented environment
• Working knowledge of PCAOB and SEC requirements for compliance with SOX
• Working knowledge of US GAAP, SOX and FDICIA reporting requirements.
• Proven track record in applying broad business knowledge and practical experience to understanding & evaluating financial reporting risk and controls.
• Demonstrated strong proficiency in computer applications and proven experience with tools such as Microsoft Office software products.

Preferred Qualifications:

• Control testing experience in a public accounting firm
• Financial services or specialized industry experience
• Master's degree in related discipline
• Strong understanding of US GAAP, SOX and FDICIA reporting requirements