SOX Contractor

Position Summary

The SOX Contractor will support client's SOX Program, with primary responsibility for performing and documenting reviews of third-party service providers that impact internal control over financial reporting (ICFR). The role will evaluate SOC 1 reports and related documentation to determine whether service-provider controls adequately address relevant financial reporting risks and whether additional controls or follow-up procedures are required.

The contractor will work closely with the SOX PMO, business and process owners, application owners, service-provider contacts, and external auditors to ensure service-provider reviews are complete, appropriately documented, and audit-ready.

Key Responsibilities

• Service Provider and SOC 1 Reviews
• Perform end-to-end reviews of service providers relevant to SOX and ICFR.
• Evaluate SOC 1 Type II reports and supporting documentation for identified service organizations.
• Review the SOC 1 report to assess:
• Scope of services and systems covered.
• Report and testing period.
• Service auditor's opinion, including qualified or modified opinions.
• Relevant control objectives and control activities.
• Tests performed by the service auditor and associated results.
• Control exceptions, deviations, and management responses.
• Complementary User Entity Controls (CUECs).
• Complementary Subservice Organization Controls (CSOCs), where applicable.
• Subservice organizations, including whether they are addressed using the inclusive or carve-out method.
• Determine whether identified SOC 1 controls adequately address the financial reporting risks for which client relies on the service provider.
• Assess identified control exceptions and determine whether additional CNP controls, remediation, or follow-up procedures are necessary.
• Identify applicable CUECs and work with business or control owners to map them to existing CNP SOX controls and confirm they are appropriately designed and operating.
• Assess carved-out subservice organizations

Required Education and Experience

• 3+ years of relevant experience
• Bachelor's degree in IT, Finance or other relevant discipline