What are the responsibilities and job description for the Manager, SOX Program position at GQG Partners LLC?
ABOUT GQG PARTNERS
GQG Partners is an investment boutique which is a wholly owned subsidiary of a majority employee-owned company listed on the Australian Securities Exchange (ASX: GQG). The firm manages global and emerging market equities for institutions, advisors, and individuals worldwide. The company is headquartered in Ft. Lauderdale FL, with offices in New York, Seattle, London, Sydney, and Abu Dhabi. GQG Partners manages more than US $159.5 billion in client assets as of November 30, 2024 and employs approximately 235 associates worldwide.
GQG is passionate about investing and strives for the highest levels of excellence in a competitive industry. It is our responsibility to help investors secure their financial future and we are honored that our clients entrust us with their financial capital. We endeavor to create a business that is closely aligned with our clients’ financial interests. And we strive for success at all levels of our organization through a commitment to independent thinking, continual growth, cultural integrity, and a deep knowledge of the markets.
ABOUT THE POSITION
Job Title: Manager, SOX Program
Manager: Director, SOX Program
Employment: Full Time (Hybrid, 3 days per week in office)
Location: New York, NY
Salary Range: $140,000 - $175,000
We are seeking an experienced SOX Manager to assist in the management and execution of the organization’s Sarbanes-Oxley (SOX) compliance program. The ideal candidate will have a strong background in internal controls, risk management, accounting, and financial reporting processes. This role will be responsible for ensuring compliance with SOX requirements, identifying risks, testing controls, and collaborating across departments to strengthen the organization’s overall governance framework.
KEY RESPONSIBILITIES
- Implement the SOX Compliance Plan: Execute the annual SOX compliance plan, covering all phases such as scoping, testing, and reporting to ensure alignment with regulatory frameworks and organizational goals.
- Drive SOX Activities: Coordinate and manage all SOX-related initiatives, ensuring that timelines are met, quality standards are upheld, and all deliverables are executed with precision and consistency.
- Establish the Scope of SOX Compliance: Identify and evaluate critical financial and IT processes, potential risks, and key controls to define the scope of SOX compliance, tailoring it to address the organization’s specific risk landscape.
- Conduct Comprehensive Risk Assessments: Perform detailed risk assessments to identify high-risk processes, critical controls, systems, and tools that support internal controls over financial reporting (ICFR), ensuring a targeted and effective compliance approach.
- Lead Testing and Remediation Efforts: Execute and oversee control testing to assess effectiveness, evaluate deficiencies, and lead the development and implementation of remediation plans that address control gaps and enhance the organization’s compliance posture.
- Partner with Process and Control Owners: Collaborate closely with process and control owners, providing expert guidance on SOX requirements, control design, and corrective action plans to address deficiencies and improve compliance outcomes.
- Collaborate with External Auditors: Act as the primary point of contact for external auditors, facilitating their SOX-related activities by providing timely documentation, addressing inquiries, and supporting efficient audit procedures.
- Maintain Thorough and Accurate Documentation: Prepare and continuously update detailed documentation, including process flows, risk and control matrices, testing scripts, and results, to ensure transparency, consistency, and readiness for audits and internal reviews.
- Communicate Progress and Insights: Deliver regular and insightful updates to key stakeholders, including senior leadership, on performance metrics, testing progress, identified issues, remediation status, and overall compliance health.
- Drive Process Improvement and Automation: Identify opportunities to streamline workflows, optimize processes, and implement automation to improve control efficiency, reduce manual effort, and minimize risk exposure.
- Stay Current on Regulatory and Industry Changes: Monitor updates to SOX regulations, audit standards, and best practices, ensuring the organization’s compliance program remains up to date, effective, and aligned with industry advancements.
QUALIFICATIONS
- Bachelor’s degree in accounting, Finance, Business Administration, or a related field.
- CPA, CIA, or equivalent certification preferred.
- 5 years of experience in SOX compliance, internal audit, public accounting, or related fields.
- Asset management or financial services industry experience preferred.
- Strong knowledge of SOX requirements, COSO framework, and ICFR principles.
- Experience with ITGC (IT General Controls) and automated controls is a plus.
- Excellent understanding of financial reporting processes and risks.
- Strong project management skills with the ability to lead cross-functional teams.
- Exceptional analytical, problem-solving, and communication skills.
- Proficiency in audit and compliance software, and familiarity with ERP systems (e.g. NetSuite) is a plus.
GQG Partners LLC is an Equal Opportunity Employer and will not engage in unlawful discrimination on any basis prohibited by local, state or federal law. This policy applies to all aspects of employment, including recruitment, placement, promotion, transfer, demotion, compensation, benefits, social and recreational activities and termination.
For more information about equal employment opportunity, please click here for “EEO Is the Law.” GQG Partners LLC may participate in E-Verify, please view the following links for details in English and Spanish. For information regarding your Right to Work, click here for details in English and Spanish.
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Salary : $140,000 - $175,000