Umpqua Bank SOX Manager in Hillsboro, Oregon
The SOX Manager will be responsible for the day-to-day function of the Sarbanes-Oxley (SOX) compliance efforts, including oversight for establishing and maintaining internal controls, compliance, audits, policies and procedures, ensuring risks and controls are properly documented and issues are appropriately raised. This position works directly with business process owners on the implementation of SOX controls, including business process re-design, policies, procedures, documentation, evidence evaluation, and system enhancements.
Manage and drive compliance of SOX requirements for the Bank.
Ensure risk assessment and control frameworks are in place and running effectively and efficiently.
Organize and facilitate key SOX and internal control design and operational assessment processes with process owners, control owners, and SOX working group. Work with process and control owners to develop detailed documentation of SOX controls and processes utilizing Visio (flowcharts), MS Word (narratives), or similar solutions; administer versioning; produce control change reports. Secure approval of all SOX documents from respective process and control owners.
Work directly with business process owners on the implementation of SOX controls, including business process re-design, policies, procedures, documentation, evidence evaluation, and system enhancements. Assess new processes, or changes to existing processes to identify financial risks before launch, providing recommendations for improvement.
Respond to SOX related inquiries from owners, testers, auditors, and management in timely manner.
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.
Resolve internal control issues and deficiencies through adept collaboration and facilitation skills with process and control owners. Provide assistance to Bank Controller with drafting evaluations of SOX testing exceptions and deficiencies identified by internal and external auditors.
Assist in defining, developing, and maintaining SOX and internal control policies and procedures.
Promote Bank-wide awareness of processes, internal controls, policies, and SOX requirements. Conduct SOX training to groups across the Bank.
Assist the Bank Controller with reporting status and deficiencies to Management and the Audit Committee.
Maintain professional certifications and related educational requirements as well as other duties assigned by the Bank Controller.
Demonstrate compliance with all bank regulations that apply to your position, and keep up to date on regulation changes.
Maintain working knowledge of our policies and procedures regarding the Bank Secrecy Act, Regulation CC, Regulation E, Bank Security and other regulations that apply to your position.
Bachelor’s degree (master’s degree and/or CPA is preferred) in accounting or equivalent.
4+ years at a public accounting firm or senior accountant/SOX manager (or equivalent) at a financial institution.
Ability to work effectively with individuals and as part of a team.
Proficient in Microsoft Excel and other Microsoft products and other business office machines.
Advanced analytical and problem-solving skills.
Significant experience, knowledge and understanding of US GAAP, Sarbanes-Oxley compliance and internal controls.
Physical Requirements and Working Conditions
lifting up to 25 pounds.
No relocation offered.
We do things a little differently here at Umpqua. Our retail stores serve as community hubs, our associates are given up to 40 hours of volunteer time each year, and we're never satisfied with the status quo. It's no wonder we've made "Fortune's 100 Best Companies to Work For" eight years in a row. But greatness has no finish line, so we continue every day to keep people at the center of everything we do. We focus on building relationships, understanding our customers' needs and connecting to people in new and innovative ways -- always staying true to our mission of providing personalized banking for all people, whenever and however they prefer to bank.
Umpqua Bank is committed to employing a diverse workforce. Qualified applicants will receive consideration without regard to race, color, religion, sex, national origin, age, sexual orientation, gender identity, gender expression, protected veteran status, or disability. We maintain a drug-free workplace and may perform pre-employment substance abuse testing.
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