The Travelers Companies, Inc.
Technical Lead, SOX Compliance & Audit Practices
Posted on Jun 4 Hartford, CT 149 views
Taking care of our customers, our communities and each other. That’s the Travelers Promise. By honoring this commitment, we have maintained our reputation as one of the best property casualty insurers in the industry for over 160 years. Join us to discover a culture that is rooted in innovation and thrives on collaboration. Imagine loving what you do and where you do it.
Job Description Summary
The mission of Corporate Audit is to provide objective, independent, risk-based evaluations of the design and effectiveness of governance, risk management and internal control processes throughout the Company to enhance and protect organizational value and support the Company's Sarbanes-Oxley and Model Audit Rule compliance initiatives. The SOX Compliance & Audit Practices Consultant position has an integral role in accomplishing this mission.
This position will execute on the strategy for the Sarbanes-Oxley Compliance Program at Travelers. Leveraging knowledge of Sarbanes-Oxley and GRC management, collaborate with the Chief Audit Executive and the Audit Practices team within Corporate Audit to manage, enhance and execute on the existing SOX Compliance Program. Partner closely with colleagues within Corporate Audit, SOX certifiers and our external auditors to maximize the value of SOX testing and the Enterprise’s risk assessment process.
Under limited supervision, manages the Company’s Sarbanes-Oxley (SOX) and Model Audit Rule (MAR) Compliance Program (SOX Compliance Program) as well as the Company’s Entity Risk Assessment (ERA) Annual Attestations (ERA Campaign) using Archer’s Governance, Risk and Compliance Solution (SOX Solution and ERM Solution, respectively). Responsible for the accuracy and validity of the data associated with the SOX and ERM Solutions. Provide customer service by guiding and supporting the hundreds of SOX Solution and ERM Solution users through training and inquiry. Monitor and report the results of the SOX Compliance Program and ERA Campaign. In addition, oversees the completion of Corporate Audit’s annual SOX plan (i.e., 404 testing) as well as reviews the quality of Corporate Audit’s 404 testing documentation.
Subject matter expert for the SOX Compliance Program and ERA Campaign, acting as an advocate and resource to the Corporate Audit department and SOX & ERM Solutions users.
Acts as a liaison between the Corporate Audit department and the Corporate Archer Support Team.
Oversees planning and development, enhancements, and changes to the SOX & ERM Solutions.
Documents business requirements for enhancements to the SOX & ERM Solutions and performs testing for bi-weekly system releases and periodic system upgrades.
Tracks deliverable milestones and ensures they are performed timely.
Manages communications received into the shared mailboxes.
Leads in the execution of the quarterly SOX certification and annual SOX validation cycles via the SOX Solution.
Monitor and report SOX certification status to the Chief Audit Executive quarterly.
Responsible for analyzing and processing SOX Solution data changes received from users.
Performs review of SOX Solution data changes to ensure accuracy and validity.
Researches and resolves user issues related to the SOX Solution.
Performs complex analytical assignments and recommends solutions or process improvements as deemed necessary.
Prepares and analyzes SOX Solution management information reports.
Develops user training materials and conducts both technical and methodology training for SOX & ERM Solutions users.
Ensures timely updates to the SOX page of the Company intranet.
Prepares and distributes communications to SOX & ERM Solutions users.
Maintains procedures for duties, as deemed appropriate.
Assist auditors and SOX & ERM Solutions users with methodology.
Retains documentation in accordance with the SOX Compliance Programs Corporate Retention Policies.
Supports the Companies Governance, Risk and Compliance initiatives.
Oversees the completion of Corporate Audit’s annual SOX plan (i.e., 404 testing) to ensure validation and reperformance testing performed by the auditors is completed timely and in compliance with our methodology.
Performs review of Validator documentation and 404 workpaper documentation to ensure compliance with Corporate Audit methodology.
Leads or participates in Audit Practices activities as needed.
Prepares documentation in adherence with internal audit professional standards and Corporate Audit best practices and methodology.
Assists with other tasks as assigned.
- BA/BS in accounting or related financial field.
Education, Work Experience, & Knowledge
- Minimum 5 years of work experience in auditing, internal controls or financial operations/reporting.
- Advanced knowledge of Sarbanes-Oxley and Model Audit Rule requirements.
- Experience working with Governance, Risk & Compliance models (particularly Archer software) that support SOX and MAR compliance processes and operations.
Preferred Job Specific Technical Skills & Competencies
- Strong project management by being a self-starter and managing their own workload including prioritizing and multi-tasking using sound judgment.
- Advanced ability to self-review work and provide "first time quality" deliverables.
- Excellent and efficient use of tools such as Excel and Archer.
- Attention to detail with a natural inclination for data analysis.
- Demonstrate sound judgment and problem solving skills to analyze issues and formulate solutions.
- Good business acumen and understanding of key financial/operational processes.
- Advanced skills with commonly used office software including PowerPoint, Excel, and Word.
- Ability to work in a dynamic organization and manage/balance multiple priorities and diverse projects concurrently.
- Contribute value in meetings by being a thought-leader and engaging with team members.
- Ability to achieve results by working independently.
- Ability to plan ahead, organize tasks, manage time well, and meet deadlines.
- Ability to receive feedback, willingness to learn and ability to embrace continuous improvement.
- Exercises sound judgment, makes decisions and commits to a position.
- Excellent interpersonal and communication skills (written, oral and presentation).
- Command attention in meetings and presentations/training.
- Deliver friendly and reliable customer service.
- Ability to build productive working relationships with co-workers, business management and external parties.
- Maintains smooth, effective working relationships; promotes effective teamwork.
Environmental / Work Schedules / Other
- Operates standard office equipment (Continuously)
- Sitting (can stand at will) (Continuously)
- Use of Keyboards, Sporadic 10-Key (Continuously)
Travelers is an equal opportunity employer. We value the unique abilities and talents each individual brings to our organization and recognize that we benefit in numerous ways from our differences.
If you are a candidate and have specific questions regarding the physical requirements of this role, please send us an email so we may assist you.
Travelers reserves the right to fill this position at a level above or below the level included in this posting.