Sox Auditor Resume Sample

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Irwin Kovacek
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Work Experience


Senior SOX Auditor
09/2016 - PRESENT
Dallas, TX
  • Applies analytical skills to review information, perform assessments of the audit results, and evaluate the adequacy of controls
  • Reviews the work papers of the audit team members ensuring that departmental standards have been met
  • BS Accounting required
  • Public accounting, internal audit and/or SOX experience required
  • Update Extreme’s SOX documentation, including flow charts, risk and control matrices as well as support implementing new or modifying existing controls to ensure our documentation is current and in line with Company policies
  • Design as well as test Extreme’s manual and IT SOX controls as per the requirement of PCAOB and Company’s external auditors. Ensure testing is completed in accordance with established schedule
  • Perform root cause analysis, document audit observations and design efficient and effective remediation plans. Prepare formal audit reports for Company’s executive management and Audit Committee
  • Work with finance and accounting team to ensure that audit findings are resolved timely. Proactively identify signs of possible internal control failures and work to ensure internal controls are operating effectively at all times
Internal Controls & SOX Auditor
05/2009 - 04/2016
Dallas, TX
  • Coordinate and liaise with external auditors
  • Conduct Internal Audit projects as directed in accordance with Extreme’s Annual Internal Audit Plan
  • Act as an on-site coordinator for meetings, documents request and other Internal Audit, SOX and Compliance matters
  • Relevant experience in Big 4 public accounting and/or Internal Audit role in industry
  • Professional certification (ACA or ACCA) and/or Certified Internal Auditor (CIA)
  • CPA, CIA, CFE or other related financial certification required
  • Experience with IT Audit
  • Work well and communicate effectively with individuals at all levels of the organization
  • Produce in a fast-paced environment and to work on multiple projects at once
IT SOX Auditor
05/2002 - 12/2008
Chicago, IL
  • Highly-organized to meet critical deadlines
  • Knowledge of the Standards for the Professional Practice of Internal Auditing (Attribute, Performance, and Implementation); familiarity with the Institute of Internal Auditors’ Code of Ethics and Practice Advisories for Assurance and Consulting Services
  • Respond to and support management requests regarding internal control assessments, process and procedure evaluations, special investigations and internal control education
  • Intensely curious person and solution oriented individual who wants to know the what, where, when, how, and most importantly why our processes work the way they do
  • Can easily adapt between working independently or collaboratively on a team, with various stakeholders and outsourced audit teams, and on unstructured projects
  • Strong project management and organizational skills, with the capability to work on multiple projects with minimal direction
  • Leadership skills (ability to take charge, confidence to interact with all levels, set objectives, drive results, and a team player)
  • Assist with the assessment of controls at 3rd party business partner by reviewing SOC reports and evaluating the results within the reports and their impact of the company’s controls

Education


Keiser University Miami
1997 - 2002
Bachelor's Degree in Accounting

Professional Skills


  • Robust project management skills; experience working with multi-project management
  • Quick learner with excellent interpersonal and time management skills and is a team player who is highly motivated and detail-oriented
  • Excellent verbal and written communication skills, with the ability to communicate with key stakeholders and Management
  • Robust project management skills; experience working with multi-project management is required
  • Knowledge of corporate policies and procedures that relate to auditing/accounting standards and analytical skills are necessary to prepare audits
  • Prior experience researching accounting issues
  • Internal Audit, SOX Compliance and/or public accounting experience, preferably insurance and/or Big 4 experience

How to write Sox Auditor Resume

Sox Auditor role is responsible for design, audit, analytical, accounting, finance, training, auditing, security, sox, reporting.
To write great resume for sox auditor job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Sox Auditor Resume

The section contact information is important in your sox auditor resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Sox Auditor Resume

The section work experience is an essential part of your sox auditor resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous sox auditor responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular sox auditor position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Sox Auditor resume experience can include:

  • Experience in specific related business area(s) or Audit (Internal/External), Accounting, Financial Reporting or related business area(s)
  • Develop and maintain effective working relationships with the global Controllership teams, including Global Internal Controls Teams and IT ICFR owners
  • Two to four years of professional accounting or auditing experience
  • Experience in risk and control environment (SOX/Operational Risk/Internal Audit), including control design and testing
  • Relevant work experience at a publicly trade company’s internal audit department or at a public accounting firm
  • Audit or accounting experience (prefers Big 4)

Education on a Sox Auditor Resume

Make sure to make education a priority on your sox auditor resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your sox auditor experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Sox Auditor Resume

When listing skills on your sox auditor resume, remember always to be honest about your level of ability. Include the Skills section after experience. Present the most important skills in your resume, there's a list of typical sox auditor skills:

  • Excellent verbal, written, oral communication and presentation skills
  • Work closely with business process owners to confirm that key controls are designed and operating effectively throughout the year
  • Conflict Resolution/Negotation Skills
  • Knowledge and experience on testing design and operating effectiveness of IT general and application controls is required
  • Handle multiple projects and tasks with constantly changing priorities and evolving issues
  • Work on multiple tasks with competing priorities in a rapidly growing, fast-paced,

List of Typical Experience For a Sox Auditor Resume

1

Experience For Senior SOX Auditor Resume

  • Corporate internal audit/SOX or public accounting experience
  • Plan, perform and document field work to evaluate the effectiveness of key IT internal controls for financial reporting (ITGC and Application Controls)
  • Experience, preferable in a Big 4 Public or National Accounting firm, with a focus on Sarbanes-Oxley work
  • Documenting control deficiencies which are clear, concise and provide value to management
  • Documenting front-to-back process and product flows
  • Set up and co-ordinate closing meetings, providing support to the team members where necessary in presenting their issues
  • Assist with control streamlining/rationalization and benchmarking for areas of expertise
  • Assist process owners in the preparation and on-going maintenance of process and control documentation
  • Design and execute testing strategies on a quarterly and annual basis
2

Experience For Internal Controls & SOX Auditor Resume

  • Identify control deficiencies and assist SOX compliance management is determining the impact of such exceptions
  • Report the results of internal control testing to Director of SOX Compliance and communicate control gaps and weaknesses to process owners
  • Assist with the Company’s SOX and internal control documentation including Risk Control Matrices (RCMs) and process narratives
  • Assist the Manager and Sr. IT SOx Auditor with the development of the annual SOx testing plan
  • Certified or actively pursuing certification (CIA or CPA)
  • Execute the Sarbanes-Oxley walk-throughs and test plans for the company in a timely manner and in accordance with the testing calendar
  • Communicate SOX testing results to the project manager, process owner, Local Project Management Office (LPMO) and to senior finance business unit management
  • Perform annual walkthroughs with the control owners to confirm the design and operation of the controls
  • Assist with the assessment of controls at 3rd party business partner by reviewing SOC reports and evaluating the results within the reports and their impact on the company’s controls
3

Experience For IT Principal SOX Internal Auditor Resume

  • Review the work of the SOX Compliance Staff to ensure completeness, accuracy and compliance with program standards
  • Assist with the implementation of tools or software used for the Company’s internal control compliance program
  • Assist with the planning, performing, and managing field work to evaluate the effectiveness of key IT internal controls for financial reporting (ITGC and Application Controls)
  • Perform detailed testing to ensure risks are appropriately identified, associated audit procedures are applied and related controls are designed and operating to mitigate the identified risks. Identify and update the SOx 404 Framework for control and/or testing changes identified through testing
  • Assist the Sr. IT SOx Audtior in documenting and reporting control deficiencies upon discussion with business owners, collaborate with business owners regarding recommendations to address the root cause of issues and report on the status of implementation of management remedial actions
  • Keep up to date with changes in regulations, governance and best practices. Assist the Sr. IT SOx Audior in reviewing and updating testing procedures and templates to ensure any changes in regulations, governance, or best practices are reflected and incorporated into testing
  • Assist other Internal Audit Managers and Lead Seniors with planning and execution of IT related audits throughout the company during SOx slow times
  • Assist with Entity Level Controls and SOC-1 Testing
4

Experience For Senior IT SOX Auditor Resume

  • Prepare and report control deficiencies upon discussion with business owners, collaborate with business owners regarding recommendations to address the root cause of issues and report on the status of implementation of management remedial actions
  • Manage relationship with external auditors including understanding expectations, providing status updates, and addressing comments for reliance work
  • Assist the Manager with reporting status and deficiencies to Management and the Audit Committee
  • Keep up to date with changes in regulations, governance and best practices. Review and update testing procedures and templates to ensure any changes in regulations, governance, or best practices are reflected and incorporated into testing
  • Assist other Internal Audit Managers and Lead Seniors with planning and execution of financial, operational and compliance audits throughout the company during SOx slow times
  • Assist with external audit work during SOx slow times
  • Professional Designations / Advanced Degrees: If professional designation has not been obtained, active pursuit of one of the following: CPA, CIA, CFE, CISA and ARM (or comparable designation)
5

Experience For Principal SOX Internal Auditor Resume

  • Collecting and analyzing complex data, evaluating information and systems, and drawing logical conclusions
  • Planning and project management; capability to maintain composure under pressure while meeting multiple deadlines
  • Commitment to meeting deadlines and work additional hours during peak periods
  • Proficient with MS Office tools: MS Word, MS Excel, and other business software to prepare reports, memos, summaries and analyses
  • Work experience analyzing business information (i.e. processes/procedures, documents, reports), researching problems/gaps, documenting findings, and recommending changes
6

Experience For Senior Manager SOX Internal Auditor Resume

  • Performs audit procedures, including developing and conducting walkthroughs and developing and documenting audit evidence of control performance. Also responsible for identifying and defining issues and recommendations and leading appropriate staff
  • Develops and composes work paper documentation, deficiency summaries and other reports as necessary
  • Travel internationally and domestically up to 15% per year
  • Planning and perform Sarbanes-Oxley walk-throughs and testing at assigned locations in accordance with the departmental testing strategy while meeting project deadlines
  • Provide timely status reports to the project manager on progress of activities
  • Coordinate and provide guidance to the team (i.e. mentoring) when conducting Sarbanes-Oxley walk-throughs and testing at assigned locations in accordance with the departmental testing strategy while meeting project deadlines
  • Develop value added relationships with process owners and local business unit management
7

Experience For Associate SOX Auditor Resume

  • Supervise work of team members engaged in SOX reviews including workpaper review, monitoring progress in the field, and reviewing identified issues prior to discussing with the project manager
  • Excellent written and verbal communication skills to interact with the appropriate levels of management and the internal audit team
  • Excellent time management skills and a process-oriented approach
  • Determine root cause failures and business impact noting and monitoring trends for areas of expertise
  • Lead more complex reviews and special projects
  • Moderate out of town and local travel, estimated at no more than 20% per year is required
  • Work independently and proactively manage workload

List of Typical Skills For a Sox Auditor Resume

1

Skills For Senior SOX Auditor Resume

  • Strong ability to work independently and perform the necessary follow-ups with controls owners
  • Functions in various roles on audit assignments, including leading audits, staffing audits, and providing oversight functions based on the needs of the team
  • Develop and maintain technical proficiency and current knowledge of professional standards, including accounting, auditing and financial reporting requirements
  • Knowledge of SOX or SOC audit standards and testing protocol
  • Conducts and documents SOX 404/SOC1 testing and conclusions
  • Travel (up to 15% of time) including some international assignments
  • Assist with the review of control testing performed by the Finance teams at various PKI sites (both domestic and international
2

Skills For Internal Controls & SOX Auditor Resume

  • Assist with certification requirements for quarterly SEC reporting
  • Assist in providing guidance and recommendations on control activities
  • Assist with the implementation of software and tools used to document and compile the results of control testing performed
  • Assist in administering questionnaires to PKI’s controllership organization in an effort to identify and analyze business risks
  • Industry, Regulatory and Standards Changes
3

Skills For IT Principal SOX Internal Auditor Resume

  • Governance and Ethics Sensitivity
  • Data Collection and Analysis Techniques
  • Peer relationships with Senior Auditors, Internal Controls Professionals and Business/Operations Professionals
  • Reports to Manager, Internal Audit and SOx
  • Drive an automobile, carry a laptop PC and other requisite equipment/supplies to remote audit assignments, on an “as needed” basis
  • Lead, manage or assist with SOX 404 internal control and process risk assessment, planning, walkthrough and testing within all general & administrative and go-to-market cycles
  • Support the SOX PMO leader in the overall management of SOX audits
4

Skills For Senior IT SOX Auditor Resume

  • Liaise with external auditors in the performance of their internal control activities
  • Perform system implementation impact assessments as they relate to key financial processes
  • Lead, manage or assist with process improvement and other business optimization reviews, as needed
  • Mentor and provide leadership to Audit Staff and Interns
  • Actively manage relationships with business partners and co-workers
  • Lead various project management activities and other administrative tasks
5

Skills For Principal SOX Internal Auditor Resume

  • Work with process owners and other personnel at various PKI sites to ensure control documents are continually updated to reflect current control activities
  • Partner with the Internal Audit team to assist with operational and financial audits and complete detailed audit work
  • Perform other activities on an ad hoc basis (such as SOC-1 analysis and reviews) to ensure the COSO framework requirements are met
  • Position requires frequent domestic and international travel (approx. 20 – 30% travel per year)
  • Perform SOX documentation updates, process walkthroughs and control identification, update RCM’s, update test plans, perform testing, handle all areas except initial scoping
6

Skills For Senior Manager SOX Internal Auditor Resume

  • Analytical or statistical experience
  • Understanding of IT general controls and application controls best practices
  • CPA / CIA / CISA / MBA preferable
  • Proficiency with Microsoft Office Applications (Word, Excel, Power Point and Visio)
  • A desire to understand the systems and processes under review and Company operations, policies and procedures
  • High level of energy and commitment, stress tolerance
7

Skills For Associate SOX Auditor Resume

  • Self-motivator and team player who brings a can-do approach
  • Moderate out of town and local travel, estimated at 15% -20% per year
  • Knowledge of COSO Internal Control Framework and Sarbanes-Oxley requirements
  • Travel (US & other International locations) for 1-2 weeks in a single trip. Overall travel no more than 10-15%
  • Interact and communicate well with employees across different business environments and external auditors. Ability to resolve conflicts in a professional manner
8

Skills For Senior IT SOX Internal Auditor Resume

  • Agility and flexibility to a changing environment
  • Certifications in IT compliance standards (e.g., CISA, CISSP, CISM) is required
  • Three years or more in related work experience: information technology internal/external audit, IT internal controls or process implementation or improvements within a large publicly-traded company, specifically US companies subject to SOx requirements is required
  • Theoretical and practical knowledge of major risk and control frameworks or IT frameworks (e.g., COSO 2013, COBIT, ISO, CMM, ITIL) is required
  • Strong understanding of IT infrastructure management (e.g. networks, data center operations, service desk, server management) and IT security standards and practices (e.g., access control, system hardening, system audit and log file monitoring, security policies) is required
  • Practical knowledge of ERP systems (i.e. SAP or comparable large ERP systems) and PC proficiency in MSOffice (Excel, Word, Visio, etc.) is required
  • Interact and communicate well with employees across different business environments and external auditors. Ability to resolve conflict in a professional manner
  • Translate compliance and IT technical requirements into relevant and understandable terms
  • Leverage business systems (SAP, BW, etc.) and tools (Excel, Word, Visio, etc.) to support business execution and measurement of results
9

Skills For Senior Internal Auditor SOX Resume

  • Document tests results and provide support for an informed, objective opinion of the risk exposure
  • Develop and discuss findings, recommendations and timelines for correction action with appropriate division and/or department leaders and monitor the implementation status of agreed recommendation
  • SOX experience
  • Risk and compliance experience
  • Assist in mapping and documentation of process to identify key risks and controls
  • Monitor the status of audit findings and recommendations and appraise the adequacy of follow-up actions taken on audit findings and recommendations
  • Partner with management to determine remediation steps and ensure corrective action is carried out
10

Skills For Senior SOX IT Auditor Resume

  • Perform individual research and projects as needed
  • Travel internationally 30%
  • Considerable knowledge of and skill in applying internal auditing/internal controls and accounting principles and practices, specifically as it relates to SOX risk assessment, process documentation and flowcharting, control design assessment, test plan design, testing of operational effectiveness and documenting of deficiencies
  • Manage multiple tasks concurrently in an efficient and effective manner with minimal oversight
  • Developing and managing working relationships with key stakeholders, including Risk Segment Officers and Business Process owners
  • Performing control testing on SOX and FDICIA programs
  • Identifying gaps between implemented controls and key risks and recommending remediation actions

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