Senior SOX Auditor

   Posted 18 days ago


The Senior SOX Auditor assists the SOX Audit Manager with the development and execution of Internal Audit SOX plan to provide objective evaluations of internal controls and processes to identify areas of risk and operational efficiency by partnering with business partners to review existing practices, policies, and procedures. The position plays a key part in Internal Audit’s role of identifying improvement opportunities for meeting operational goals, compliance objectives and regulatory requirements.  In addition, this role will be responsible for supervising the Staff SOX Auditor. 

Principal Duties and Responsibilities

  • Executes internal control testing in support of the SOX compliance program. 
  • Assists with annual walkthroughs and the mapping of existing processes identifying any gaps. Assess effectiveness of application controls and key reports relating to business processes. Creates and executes test procedures and documents test results in accordance with work paper guidelines.
  • Prepares high quality work papers to ensure consistency between test objectives, evidence obtained and test results and that are well documented in accordance with department standards.
  • Keeps the SOX Audit Manager apprised of testing status and escalates exceptions / key issues for review and continuously reports SOX testing related progress and results to the SOX Audit Manager.
  • Assists management in updating current process documentation over internal controls, and actively partners with management to ensure effective controls are in place to address key business and financial reporting risks.
  • Maintains an effective and efficient planning, execution, and coordination of work between testing team and process owners across the organization and maintains a working relationship with external auditors as appropriate.
  • Evaluates the reliability and integrity of information and the efficient and effective use of resources.
  • Follows up on the implementation of recommendations because of operational and SOX compliance testing, review and validates remediation plans.
  • Assists with the design and execution of risk-based assurance and advisory projects with the objective of identifying gaps and areas of improvement while evaluating potential business impact.
  • Performs other projects and assists with compliance and operational reviews as assigned.


  • Technical Capacity
  • Communication Proficiency
  • Problem Solving/Analysis
  • Supervisory Skills
  • Organization Skills
  • Teamwork Orientation
  • Time Management
  • Customer/Client Focus
  • Strategic Thinking

Other Duties

Performs other administrative duties as needed

Preferred Education and Experience

  • Bachelor’s Degree in Accounting or Finance related area required.
  • 3 years of SOX Audit including Supervisory experience required.
  • Minimum of 3 years of Corporate internal audit and/or Big 4 audit including financial controls compliance and risk management experience.
  • 2+ year of experience evaluating the design and effectiveness of processes and controls over financial and operational functions.
  • CPA, CIA, and/or CFE certifications, or working towards attaining certification preferred.
  • Knowledge of the Sarbanes-Oxley, COSO, internal auditing standards, generally accepted accounting principles (GAAP) and risk assessment practices. 
  • Understanding of internal control concepts and experience in applying them to plan, perform, manage, and report on the evaluation of various business processes/areas/functions.
  • Strong verbal and written communication skills to effectively present to peers and management as well as to effectively document procedures performed and conclusions reached.
  • Ability to deliver quality results on time, with a high degree of integrity and in an ethical and professional manner.
  • Effective time management and multi-tasking skills to be able to perform multiple projects and working with varying team members.
  • Flexibility, adaptability and comfort with the unknown.
  • Curiosity to learn more about the Company’s operations.
  • Intermediate Project Management skills - Able to set project timeframes (for self) to meet project objectives.
  • Strong critical thinking and problem-solving skills around business processes, controls, and deficiencies.
  • Demonstrate high standards of conduct and ethics as well as appropriate judgment, independence and discretion.
  • Proficiency in Microsoft Office applications.
  • Proficiency in SOX Automated applications preferred.
  • ACL, IDEA, SQL and/or other analytical software skills preferred.
  • Oracle, Hyperion and other ERP software skills preferred.

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Job details

Twin River Worldwide Holdings
Cathy Bassaner
Rhode Island
Job Website

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