Director of SOX

  • Posted: 15/05/2024
  • Salary: -
  • Location: New York City, - None Specified -
  • Job Type: Permanent/Fixed Term
About the Job:
JCW is working in partnership with an International Investment Management firm. Our client is seeking talented candidates to fill a SOX Director role in their New York City office due to their recent growth in the United States. As a SOX Director, you will play a pivotal role in ensuring our firm's adherence to the Sarbanes-Oxley Act (SOX) and other regulatory requirements. You will be responsible for overseeing the design, implementation, and maintenance of effective internal controls to safeguard our financial integrity and ensure compliance with applicable laws and regulations.
Key Responsibilities:
  • Develop and execute a comprehensive SOX compliance program, including risk assessment, control documentation, testing, and remediation activities.
  • Collaborate with cross-functional teams to identify control gaps and strengthen internal controls across various business processes.
  • Monitor changes in regulatory requirements and industry best practices to ensure ongoing compliance and mitigate emerging risks.
  • Provide guidance and training to business units on SOX compliance requirements and control procedures.
  • Liaise with external auditors and regulatory authorities to facilitate audits and inquiries as needed.
  • Drive continuous improvement initiatives to enhance the efficiency and effectiveness of our compliance processes.

  • Bachelor's degree in Accounting, Finance, or a related field; CPA or relevant professional certification preferred.
  • Minimum of 8 years of experience in SOX compliance, internal audit, or risk management within the investment management industry.
  • Strong understanding of SOX regulations, COSO framework, and internal control principles.
  • Excellent analytical skills with the ability to assess complex processes and identify control deficiencies.
  • Proven leadership capabilities with the ability to influence and collaborate with stakeholders at all levels.
  • Exceptional communication skills, both verbal and written, with the ability to convey technical concepts to non-technical audiences.
  • Detail-oriented mindset with a commitment to accuracy and quality.

Why Join Us:
  • Opportunity to work with a dynamic team of professionals in a collaborative and supportive environment.
  • Competitive compensation package with comprehensive benefits, including health insurance, retirement plans, and professional development opportunities.
  • Flexible work arrangements with the option for remote or on-site work, providing a healthy work-life balance.
  • Exposure to diverse and challenging projects that will enhance your skills and expertise in financial compliance.

Tom Meberg works with Finance and Audit Professionals for leading companies across the country. For more information, please reach Tom at
We aim to be an equal opportunity recruiter, and we are determined to ensure that no applicant receives less favorable treatment on the grounds of gender, age, disability, religion, belief, sexual orientation, marital status, or race, or is disadvantaged by conditions or requirements.
Tom Meberg Senior Consultant

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