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The role:
The Sarbanes-Oxley (SOX) Program Management Office (PMO) and Testing Group at SoFi is part of the Controllership and is responsible for ensuring the company has the necessary internal control and assessment elements in place to meet the SOX requirements. The PMO facilitates risk assessment and scoping to determine project scope of each reporting year, then prepares the internal control assessment plan and accompanying timeline, inclusive of scheduling and conducting walkthroughs for each process and control, and updating corresponding control description and process flowcharts.The Testing team facilitates all SOX management assessments for SoFi and its subsidiaries by attending control walkthroughs and conducting testing for all in-scope systems and controls. The IT Testing team performs testing over IT General Control, IT Automated Controls, Key Reports and IT-related Entity Level Controls. The Data Analytics team develops and implements testing automations, evaluates new technologies and supports reporting and dashboarding for the SOX Audit.
Responsibilities for the SOX Data Analytics & AI Manager, include, but are not limited to, identifying, developing and implementing data analytics and automation solutions for the SOX PMO & Testing teams, partnering with external stakeholders to implement automation solutions related to SOX controls, providing oversight of the SOX Data Analytics program, and assisting the SOX PM with reporting as needed. The SOX Data Analytics & AI Manager will report to the SOX IT Testing & Data Analytics Senior Manager, and will work with a mix of direct, indirect, and external team members to execute the program, including the SOX PMO IT Sr Manager and PMO team, to employ strategic and critical thinking skills to develop data analytics and automations.
SoFi’s fast pace of growth provides career development (e.g., work directly with senior and executive management) and learning opportunities (e.g., new system implementations) considering the role's enterprise-wide exposure.
**What you’ll do: **
- Use data analytics, automation techniques and AI to increase efficiency and effectiveness in the SOX program execution (e.g., risk assessments, testing, fraud risk detection, deficiency analysis), program analytics/monitoring as well advise the business control owners on mechanisms to automate controls.
- Develop, Build and Lead the SOX Data Analytics and AI program
- Create SOX Data Analytics and AI program framework and policy/standards
- Work closely with the SOX team and cross-functional stakeholders to translate business objectives into technical specifications for data analytics and automation projects. This includes understanding the SOX business need, identifying technical requirements and bridging the gap between complex data and systems, business needs and internal control requirements.
- Lead the integration of AI and Automation tools to enhance testing efficiency. Develop and deploy automated continuous control monitoring solutions to provide comprehensive coverage of high-risk areas, shifting from point-in-time assurance to continuous assurance
- Design and implement automated data pipelines, build SQL queries and data extraction scripts for evidence retrieval and control testing, reducing manual intervention
- Collaborate with business stakeholders and EPD teams to design and implement integrated solutions that meet business and internal control requirements.
- Identify opportunities for process improvement through automation within the internal control environment.
- Partner with other Data Analytics teams across the three lines of defense to drive cross-functional data analytics projects, such as the build out of a shared data warehouse and code library, and harmonize risk and control reporting across.
- Establish internal policies, procedures and standards for the deployment and use of Automation and AI within the internal control environment.
- Collaborate with the SOX Sr Director, SOX Sr Program Manager, SOX IT Testing Lead and other SOX Leads to identify reporting needs, develop and implement dashboards, including the monitoring of SOX Program (e.g., Audit Status, Issue Trends, Resourcing, Budgeting)
- Key management consultant, and internal controls expert in building and maintaining ongoing relationships with the various lines of business included in the company's SOX process.
- Responsibilities also include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance 2) adhering to company policies and procedures, 3) completing required training.
- Support other assignment and ad hoc matters as required
What you’ll need:
- Education: Bachelor's Degree.
- 5-7 or more years of Data Analytics experience, including 2-3 years of data analytics within internal audit control teams
- Proficiency in SQL, Python and other languages, including writing complex SQL queries to pull data
- Experience with business intelligence, data warehousing and dashboarding, including Snowflake, Tableau and PowerBI
- Ability to work independently and lead in ambiguity and in a fast-paced environment
- Understanding of data lineage and integrity
- Driven by Excellence - you are driven by our mission and our passion for customer success which means you relentlessly pursue excellence, that you do not tolerate mediocrity and you work intensely to achieve your goals
- High Integrity - you seek open and honest communication, and you hold yourself to very high moral and ethical standards
- You reject manipulation, dishonesty and intolerance
- Critical thinking, analytical and strategic skills
- Ability to independently navigate within an ambiguous environment
- Organized, detailed, proactive, self-motivated, collaborative
- Proven ability to work cross functionally and adapt to change are extremely important
- Ability to prioritize workloads and ensure deadlines are consistently met
- High integrity and ability to handle confidential information
- Ability to define deliverables, build budgets and project plans, align resources and specialists for project teams
- Strong project management skills and organizing ability with successful experience in concurrently managing multiple projects at varying levels of technical difficulty
- Strong teamwork and communication skills (both oral and written)
Nice to have:
- Big 4 Accounting Firm experience is strongly preferred.
- CPA and CIA/CISA or strongly preferred
- Prefer FinTech, banking and/or financial services experience primarily focused on IT SOX or IT enterprise-wide risk management and ICFR controls consulting.
- Practical and deep knowledge of IT / BP SOX, ICFR and COSO and baseline understanding of business process controls.
- Expertise in performing SOX testing, including ITGCs, ITACs, Manual Controls and Key Report Testing (e.g., examining report configurations, scripts)
Compensation and Benefits
The base pay range for this role is listed below. Final base pay offer will be determined based on individual factors such as the candidate’s experience, skills, and location.
To view all of our comprehensive and competitive benefits, visit our **Benefits at SoFi **page!
SoFi provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth and related medical conditions, breastfeeding, and conditions related to breastfeeding), gender, gender identity, gender expression, national origin, ancestry, age (40 or over), physical or medical disability, medical condition, marital status, registered domestic partner status, sexual orientation, genetic information, military and/or veteran status, or any other basis prohibited by applicable state or federal law.
The Company hires the best qualified candidate for the job, without regard to protected characteristics.
Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
New York applicants: Notice of Employee Rights
SoFi is committed to an inclusive culture. As part of this commitment, SoFi offers reasonable accommodations to candidates with physical or mental disabilities. If you need accommodations to participate in the job application or interview process, please let your recruiter know or email accommodations@sofi.com.
Due to insurance coverage issues, we are unable to accommodate remote work from Hawaii or Alaska at this time.
Internal Employees
If you are a current employee, do not apply here - please navigate to our Internal Job Board in Greenhouse to apply to our open roles.