At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team.
The VP, SOX Compliance and Internal Controls Leader will lead the Company’s SOX program and overall internal control framework. This role will own the end-to-end design, governance, scope, methodology and related documentation the SOX program. The role will directly lead a team of three SOX professionals and serve as the primary liaison to Internal and External audit. This leader will coordinate testing activities with the Internal Audit SOX testing team, review reported observations and exceptions, monitor progress, and formulate management’s conclusions regarding design and operating effectiveness. This individual will look for ways to continuously improve the program, including automation of controls and enhanced use of reporting tools. The successful candidate will bring strong technical judgment, a disciplined operating approach, and the ability to communicate complex control matters clearly to senior leadership and control owners.
Key Responsibilities
SOX Program Leadership and Governance
- Lead and continuously enhance the Company’s SOX PMO, including management, development, and prioritization of a three-person team.
- Own the annual and ongoing SOX program plan, governance model, calendar, deliverables, escalation protocols, and status reporting.
- Present management’s SOX status, conclusions, deficiencies, remediation progress, scope changes, and emerging risks to senior management and relevant governance stakeholders.
- Oversee the development and maintenance of documentation supporting management’s SOX assessment and conclusions.
- Lead program enhancements, automation/AI, or maturity initiatives for SOX processes; look for ways to leverage testing in other areas (e.g. SOC) to streamline company-wide testing requirements.
- Deliver training and guidance to control owners on SOX requirements, controls documentation, evidence expectations, deficiency management, and evolving program requirements.
Methodology, Documentation, and Assessments
- Establish, maintain, and enhance the Company’s SOX methodology, including standards for Risk and Control Matrices (RCMs), sampling policy, deficiency evaluation framework, quarterly management attestations.
- Maintain full responsibility for SOX scoping, including significant accounts and disclosures, in-scope applications, interfaces, in-scope controls, key spreadsheets, entity-level controls (ELCs), outsourced service providers
- Oversee the maintenance high-quality process narratives, RCMs, control descriptions, evidence standards, and other SOX documentation.
- Monitor walkthroughs and align timing with Internal Audit and Deloitte.
- Co-lead walkthroughs with Internal Audit and facilitate timely resolution of questions, evidence requests, and documentation matters.
Internal and External Audit Coordination
- Serve as the primary point of contact for the SOX PMO’s relationship with Internal Audit and external audit. Coordinate with Deloitte and Internal Audit to support a well-managed, efficient, and timely audit process.
- Agree with Internal Audit on the annual test plan, testing approach, timing, and reporting cadence.
- Monitor SOX testing progress and status as reported by Internal Audit; identify risks to timelines and drive appropriate escalation.
- Review and agree to proposed changes to test scripts from Internal Audit.
- Oversee the review Internal Audit reports for observations, exceptions, and other control findings.
- Review Internal Audit testing results and evaluate their implications for management’s SOX assessment.
- Conclude on design and operating effectiveness based on management’s assessment and Internal Audit testing results.
Deficiency Evaluation and Remediation
- Lead the assessment of control deficiencies, including aggregation, severity assessment, management conclusions, and escalation.
- Partner with process and control owners to develop practical remediation plans, establish accountable owners and due dates, and monitor execution.
- Escalate significant remediation risks, overdue actions, and matters that may affect management’s SOX conclusions.
Qualifications
- Bachelor’s degree in Accounting, Finance, Business, Information Systems, or a related field.
- CPA, CIA, CISA, or similar professional certification strongly preferred.
- 12+ years progressive experience leading SOX compliance, internal controls, internal audit, external audit, or financial-risk programs within a public company environment. Experience in a publicly traded fintech, technology, or similar environment strongly preferred
- Experience with Optro (Audit Board) technology strongly preferred.
- Demonstrated experience leading a SOX PMO or comparable internal-controls function, including ownership of scope, methodology, testing coordination, deficiencies, remediation, and conclusions.
- Experience with technology-dependent controls, application controls, interfaces, spreadsheets, and complex systems environments.
- Experience leading program enhancements, automation, or maturity initiatives for SOX and internal controls processes.
- Demonstrated ability to lead, coach, and develop a high-performing team.
- Exceptional project-management, stakeholder-management, and communication skills, with the ability to influence senior leaders and control owners.
- Sound judgment, strong attention to detail, and the ability to manage multiple priorities in a fast-paced fintech environment.
- Ability to translate technical control and audit matters into clear business decisions and management actions.
- Collaborative leadership style paired with the confidence to challenge, prioritize, and drive accountability.
Salary range $240,000.00- $275,000.00. Bonus Eligible.
Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education.
Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.
#LI-LR
Salary Range:
Requisition Compensation Range - Minimum
185625
Requisition Compensation Range - Maximum
298625
Bonus Eligible:
Bonus - MBO Bonus - Corporate, 20% Annual: Individual Target
Broadridge considers various factors when evaluating a candidate's final salary including, but not limited to, relevant experience, skills, and education.
Please visit www.broadridgebenefits.com for more information on our comprehensive benefit offerings.
We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates do their best when they feel safe, understood, and valued, and we work diligently and collaboratively to ensure Broadridge is a company—and ultimately a community—that recognizes and celebrates everyone’s unique perspective.
Use of AI in Hiring
As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency are critical to our hiring process. Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.
US applicants: Click here to view the EEOC "Know Your Rights" poster.
Disability Assistance
We recognize that ensuring our long-term success means creating an environment where everyone is welcome, where everyone's strengths are valued, and where everyone can perform at their best. Broadridge provides equal employment opportunities to all associates and applicants for employment without regard to race, color, religion, sex (including sexual orientation, gender identity or expression, and pregnancy), marital status, national origin, ethnic origin, age, disability, genetic information, military or veteran status, and other protected characteristics protected by applicable federal, state, or local laws.
If you need assistance or would like to request reasonable accommodations during the application and/or hiring process, please contact us at 888-237-7769 or by sending an email to BRcareers@broadridge.com.
