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The SOX Financial Auditor collaborates with other team members to ensure timely delivery of high quality and value added SOX Control Testing for a portfolio of business activities, carrying out the requirements established by Management and the Board Audit Committee.
As a Sarbanes-Oxley (SOX) Auditor, you will spend the majority of your time testing the design and effectiveness of controls, documenting results under the direct supervision of your manager and collaborating with stakeholders. As you gain experience and understanding of the processes, our company and the industry, more complex control testing will be assigned to you, including testing automated controls.
What you’ll do:
Walkthroughs:
- Conduct walkthroughs of key business processes to understand how controls are designed and implemented.
- Meet with control owners to verify that controls are in place and functioning as intended.
- Document the flow of transactions and key control points within financial systems.
Testing:
- Test the effectiveness of internal controls over financial reporting by evaluating whether the controls are working as designed.
- Select samples from financial transactions to test whether controls (e.g., approvals, reconciliations, or system restrictions) are being properly applied (substantive samples).
- Perform straightforward procedures to assist external auditors with year-end testing or other financial calculations.
- In some cases, reperform testing procedures to confirm that the original control preparer is performing it correctly (reperformance).
Documenting:
- Prepare detailed documentation (workpapers) for each control tested, including the testing methodology, evidence gathered, and results.
- Ensure that all test results are clearly linked to the control objectives and that findings are supported with evidence.
- Resolve workpaper review notes timely and implement improvements going forward.
- Maintain organized workpapers and control testing documentation in Audit-Board.
Evaluating Deficiencies:
- With help from the Manager, identify and assess control deficiencies, including failures in design or operating effectiveness based on control testing results.
- With help from the Manager, work with process owners to understand the root causes of deficiencies and determine their materiality and potential impact on financial reporting.
- With help from the Manager, recommend remediation actions or process improvements to address deficiencies.
Collaborating with Different Teams:
- Collaborate with internal stakeholders, including finance, IT, and compliance teams, to understand the control environment and ensure that controls are properly executed.
- Assist with external auditor’s requests and provide them with documentation and testing results during the SOX audit process.
Experience you'll need:
- Bachelor’s degree in Finance, Accounting or Business from an accredited college / university.
- Familiarity with SOX, US GAAP, and auditing principles and procedures.
- Familiarity with Tableau or other Business Intelligence tools, Audit-Board (highly preferred), Google Suite products including Power BI, Sheets and Slides, and MS Excel.
- Agile learner, eager to solve problems, and able to grasp new concepts quickly.
- Must have strong analytical, organizational, and time management skills in order to complete assignments under tight deadlines.
- Strong interpersonal skills with the ability to gain the confidence and respect of those being audited at all levels of management.
- Certification will be required for future promotion (CPA, CIA, or CISA).
- 0 to 2 years working experience.
What could set you apart:
- Basic knowledge of SOX principles (COSO) and Internal Audit principles and standards gained through work experience (internships) or formal education.
- Familiarity with Tableau or other Business Intelligence tools.
- Desire to earn certifications such as CPA, CIA, or CISA.
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