Senior Manager, SOX Compliance and Internal Audit

Job Title: Senior Manager, SOX Compliance and Internal Audit

Location: Orem, UT

Reports to: Director, Audit and Risk Management

Status: Full-Time, In-Office

Benefits: Full-time employees are eligible for Health, Dental, Vision, & Life and Accident insurance, an HSA Savings Account, and the opportunity to receive stock options.

Complete Solar is a leading residential solar company based in Utah, focused on providing innovative solutions to reduce costs and enhance the customer experience in the solar value chain. We sell directly to consumers and provide our partners with a robust platform to manage every aspect of the customer experience, from initial consultation to installation. Our mission is to make solar energy more accessible, affordable, and effective through cutting-edge technology and exceptional service. 

Job Summary: 

We are seeking an experienced and detail-oriented Senior Manager for SOX Compliance and Internal Audit to manage and support the Sarbanes-Oxley (SOX) compliance program and Internal Audit Function. In this role, the primary accountability includes driving the implementation, monitoring, and ongoing maintenance of internal controls and SOX-related processes. You will work closely with cross-functional teams, senior management, and external auditors to ensure compliance with SOX requirements and maintain an effective internal control environment. 

Key Responsibilities: 

SOX Compliance Management: 

• Lead the planning, execution, and documentation of SOX compliance activities across the organization. 
• Oversee the annual SOX testing process, ensuring that all controls are properly evaluated and documented. 
• Ensure that SOX controls are designed and implemented in alignment with regulatory requirements, industry standards, and best practices. 
• Work with internal and external auditors to manage the testing of controls and provide timely responses to audit findings.

Testing & Documentation:  

• Develop and maintain detailed SOX documentation, including process narratives, flowcharts, risk control matrices, and test plans.  
• Oversee control testing to assess operating effectiveness. 

Internal Controls Oversight: 

• Develop and maintain a comprehensive internal control framework, focusing on financial reporting, operational, and IT controls. 
• Identify and assess risks in the internal control environment and recommend corrective actions where necessary.
• Assist in the design and implementation of new controls to address emerging risks and business changes. 

Process Improvement:

• Identify opportunities for the improvement of internal control processes and work with key stakeholders to enhance the efficiency and effectiveness of controls.
• Lead initiatives to streamline the SOX compliance process, ensuring both quality and efficiency in testing, reporting, and remediation. 

Collaboration and Communication: 

• Collaborate with internal teams (e.g., finance, accounting, IT, legal) to ensure alignment on SOX requirements and the implementation of internal controls. 
• Serve as the subject matter expert for SOX compliance matters, providing guidance to leadership and cross-functional teams. 
• Prepare regular reports on SOX compliance status, risks, and remediation efforts for senior management and the audit committee presentation. 

Team Leadership and Development: 

• Lead and mentor a team of SOX professionals, providing coaching, training, and career development opportunities. 
• Ensure effective resource allocation and manage the team’s performance to meet key deadlines and objectives.

Regulatory Knowledge and Compliance: 

• Stay up to date with changes in SOX regulations, accounting standards, and auditing practices. 
• Monitor developments in the regulatory environment and recommend necessary updates to policies and controls to maintain compliance. 

Development and Execution of the Annual Audit Program 

• Support the Director of Audit to establish and develop the annual audit plan.
• Supervise and/or execute audit programs and communicate results with stakeholders.

Qualifications: 

Education: 

• Master's degree in accounting, Finance, Business, or related field; CPA, CIA, or other relevant certifications preferred. 

Experience: 

• Minimum of 7-10 years of experience in SOX compliance, internal auditing, or public accounting, with at least 3-5 years in SOX Project Management.
• Proven experience managing SOX compliance programs for publicly traded companies. 
• Strong understanding of internal controls over financial reporting (ICFR) and risk management practices. 

Skills: 

• In-depth knowledge of SOX 404 requirements and internal control frameworks (e.g., COSO). 
• Strong understanding of accounting principles (GAAP), auditing standards, and regulatory requirements (e.g., SEC, PCAOB). 
• Experience working with audit teams (both internal and external) to ensure compliance with and resolve issues. 
• Exceptional project management and organizational skills, with the ability to prioritize and manage multiple tasks in a fast-paced environment. 
• Excellent communication and interpersonal skills, with the ability to collaborate effectively with senior management and cross-functional teams. 
• Advanced proficiency in Microsoft Excel, Word, and PowerPoint; experience with SOX management software/tools is a plus. 

Preferred Qualifications: 

• Master’s degree in accounting, Finance, or related field. 

• Certified Information Systems Auditor (CISA) or Certified Internal Auditor (CIA) certifications. 

• Experience with large, complex organizations and working in a global environment. 

• Experience in auditing or managing SOX compliance for IT systems and controls. 

Key Attributes: 

• Strong attention to detail and problem-solving skills. 

• Ability to manage and develop teams in a dynamic, fast-paced environment. 

• Results-driven and able to handle complex issues with a proactive approach. 

• High level of integrity and professionalism in all dealings.