Senior SOX Auditor Senior SOX Auditor …

in New York, NY, United States
Permanent, Full time
Be the first to apply
in New York, NY, United States
Permanent, Full time
Be the first to apply
Senior SOX Auditor
Job Description
  • Maintains an understanding of the financial, operational, and technology processes, risks and controls related to Moody's business.
  • Develops relationship with audit stakeholders and aligns audit projects based on stakeholders' objectives of the area under review.
  • Demonstrates an ability to identify key risks and proactively identifies leading practices for the area under review.
  • Prepares and communicates audit plan, develops audit engagement budget and timelines, supervises and/or executes audit field work with minimum to moderate supervision.
  • Proactively manages or assists in managing the audit lifecycle (e.g. internal status meetings, related agendas).
  • Develop test steps for the area under review commensurate with the nature of risk and risk levels.
  • Perform audit projects in accordance with departmental and Institute of Internal Auditors standards.
  • Communicates roles and expectations for project team at the start of the project and enforces accountability of project deliverable quality, hours, costs, and timelines.
  • Assists in monitoring team's performances and workload. Proactively develops appropriate initial resolutions to audit obstacles to be discussed with project sponsor.
  • Demonstrates ability to identify potential issues and support these with data, prepare draft audit reports and communicate with stakeholders within and outside of the IA department.
  • Assists in developing the "why do we care" for audit issues and collaborates with stakeholders and project team to develop meaningful recommendations for the audit projects.
  • Assists in developing other IA deliverables as neede, e.g. local/regional regulatory requests, board materials.
  • Applies process analysis, business intelligence, and problem solving techniques when planning an audit, performing walkthroughs, and identifying effective test steps.
  • Maintains curiosity and exercises professional skepticism.
  • Upholds and promotes professional ethics.
  • Continuously expands knowledge of data analytics and use of technology to enhance audit testing, identify opportunities for continuous monitoring and repeatable test plans.
  • Capable of performing intermediate level data analytics functions within Excel or equivalent applications (e.g. Access, Tableau, ACL), and leverages, contributes to, and improves the data analytics library.
  • Identifies efficiencies and opportunities for enhancing internal audit delivery.
  • Assists with updating the internal audit standards and templates.
  • Provides constructive and timely feedback and assists in identifying development opportunities for individual team members.
Coaches team members to enhance their competence and professional development .

  • Bachelor's degree, preferably in computer science, computer engineering, information technology, information systems, or similar.
  • Pursuing CISA or equivalent professional qualification preferred.
  • 3-6 years' experience in a Big 4 Accounting firm and/or a global organization.
  • Knowledge of internal controls, internal control frameworks and risk standards (e.g. COSO, ISO, NIST, etc.), Sarbanes Oxley Act, and financial systems and related technology.
  • Awareness of regulations pertaining to financial services industry.
  • Knowledge of testing IT general controls under Sarbanes Oxley Act, cyber/information security, cyber threats and related concepts.
  • Knowledge of IT infrastructure (servers, databases, firewalls, etc.) and IT operations assessment, design, architecture, management and reporting.
  • Understanding of data privacy and SDLC standards.
  • Proficiency in Microsoft Office suite.
  • Ability to work both independently and as a member of a team in a fast paced environment and handle multiple tasks simultaneously.
An ideal candidate should be innovative, result oriented and should be able to demonstrate strong communication, interpersonal, persuasion, team management, project management and critical thinking skills.

Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody's also provides reasonable accommodation to qualified individuals with disabilities in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.

Click here to view our full EEO policy statement. Click here for more information on your EEO rights under the law.

Candidates for Moody's Corporation may be asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading and the requirements of the position. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.