Sarbanes Oxley News June 2009 Page 1 of 11

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22 Sarbanes Oxley related Job Titles and Descriptions with

well above the average (or amazing) compensation
Is Sarbanes Oxley dead, a project from the past?
Absolutely not!
Sarbanes Oxley is becoming more important month after month in this period of re-regulation.

I have spent a day with my team researching the Sarbanes Oxley and the Basel ii markets, and I want to share some interesting
findings with you.

It is good to feel and understand better the demands of the marketplace. We will discuss 22 Sarbanes Oxley related Job Titles and
Descriptions, posted during the spring of 2009, in the middle of the market crisis.

I believe that you must do your own research. Don't believe me, search! Look at the compensation packages that are offered. In this
newsletter we will focus on the job desription and the tasks required.

The results will amaze you.

Try to answer the questions:

1. Is there a crisis for Sarbanes Oxley professionals?

2. How can I gain a personal competitive advantage in today's marketplace?
3. Can I offer to the employers what they need? What should I add to my CV?
4. How much money other professionals make - persons with my knowledge and experience?
5. Are there hidden opportunities? Some great opportunities?
6. Do we do in our organization what others seem to do?

I always enjoy reading creative and unique job titles and descriptions (example: Traffic Manager!!! at number 18). We will share some
of them.

Lets start!

1. Manager of Financial Reporting

Location: Charlotte, NC
Total Compensation: $130K
- Base Salary: $110K
- Bonus / Commission: $20K

Successful, multi-national manufacturing company looking for a Manager of Financial Reporting.

Primary responsibilities include:

Manage the company's external financial reporting processes, including periodic filings with the SEC (10Q, 10K, etc.)

Manage company-wide activities to monitor and evaluate internal controls over financial reporting (Sarbanes-Oxley)

Serve as a subject matter expert and executive advisor with respect to accounting and financial reporting/disclosure issues (GAAP,
SEC, FASB, PCAOB, etc.)

Manage the quarterly review and annual audit processes

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Support negotiation and review of key contracts to assure that potential accounting, reporting and tax issues are identified and
addressed early
 

2. Director of IT - Security & Risk Compliance

Location: Clearwater, FL
Total Compensation: $135K - $145K
- Base Salary: $110K - $120K
- Bonus / Commission: 20%
Reports to: VP of IT

Provide leadership in the identification, testing, and reporting on the functionality of controls identified for Sarbanes-Oxley annual
attestation(s), SAS70 certification, and ISO 27001 / 27002 certifications.

Manage overall HIPAA compliance initiatives

Bachelors degree or higher

Direct experience working with Auditors and Certifications Specialist

COBIT/COSO/ITIL
 

3. Invesment Bank - Manager - SOX

Location: New York, NY
Total Compensation: $100K - $120K+
- Bonus / Commission: Competitive Bonus
Reports to: Business Controls Head

Large International Investment Bank Seeks a of Manager - SOX

1. Work on internal control projects aimed at SOX compliance in the Americas; scoping, identification of monitoring controls, and
evaluating control effectiveness etc.

2. Develop relationships and regularly communicate with Business unit & infrastructure management as well as Corporate ORM on
the Sarbanes Oxley compliance efforts.

3. Participate in the global scoping exercise to identify the critical financial statement accounts and key processes in scope for the
Company, Regions and Business Units for annual SOX compliance.

4. Stay abreast of Sarbanes Oxley regulatory changes and Promote the understanding of Sarbanes Oxley as a regulation, and
communicate accountability for continuous monitoring, reporting and management of the risk (including attestations), as well as
maintenance of the control environment.

5. Complete quality assurance reviews and develop standards for the oversight of identifying / moving towards monitoring controls,
moving towards self-assessments, gap identification and remediation, etc.

6. Develop and deploy internal training on SOX as a topic, and on specific tools and activities.

Assist in ensuring that the business continues to follow a risk-driven approach to self-assessments and key risk indicators that
broaden scope beyond SOX risks and controls, while simultaneously leveraging management controls already in place.

Streamline SOX efforts in view of risks, and recent PCAOB guidance allowing Co's to move towards leveraging monitoring controls
already in place at the organization.

· 5-10 years experience of SOX audit experience either from a public accounting firm or similar major financial institution

· Four-year college degree or equivalent. CPA/MBA preferred but not necessary

· Proven experience assessing and developing internal control processes around SOX compliance guidelines

· Excellent communications skills required.

 

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4. Sr. Director - Sarbanes Oxley Job

Location: New York, Manhattan
Salary Range: Up to 140k, Bonus

Sr. Director - Sarbanes Oxley (SOX) will facilitate and manage the companies worldwide SOX initiate under the direction of the VP
of Operations and Internal Controls.

Coordinate efforts with 4 worldwide Internal Control Directors responsible to:

a.Work with Tier 1 CFO to ensure

(1) all control documentation is current;

(2) remediation is complete; and
(3) readiness for testing

b.Execute and test a control self assessment program with Tier 2 and 3 locations

Complete SOX risk and scoping exercise

Manage development and approval of worldwide test / audit plan on behalf of management

Liaison and assist internal audit to schedule and source the annual test of effectiveness

Coordinate and / or review executed test plans / work papers to analyze / categorize deficiencies
 

5. Director of Business Development (Sarbanes-Oxley Act)

Salary Information: $85K - $90K
Job Location: MN

Requirements:

- Must have extensive knowledge of legal ethical standards and regulations (i.e. Sarbanes-Oxley Act)

- Familiarity with eLearning and onlne applications

- Familiarity with customer management software (i.e. Salesforce)

- Bachelor's degree

- 5-10+ years of sales or consulting experience

- Solid understanding of technical concepts and web applications

- Experience selling to higher levels within an organization: VP, Director, etc.

 

6. Job Title: Sarbanes Oxley Business Analyst

Location: Indianapolis
Salary: $70K

A high growth division for one of the most recognizable manufacturing names in the world, has an immediate need for a Sarbanes
Oxley professional.

In this role you will be responsible for partnering with management to identify key business process and internal control points to
ensure SOX compliance.

You will develop, implement and test controls and regularly evaluate the effectiveness of internal controls.

As a senior member of the SOX team, you will be counted on to identify opportunities to streamline compliance activities and make
them a seamless part of operations.

This will be a highly visible position with tremendous upward mobility within SOX and other areas of Audit or Finance.
 

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7. IT Program Manager, Sarbanes Oxley and IT Audit

Location:Houston, TX

Acts as an internal Sarbanes Oxley IT (SOX-IT) consultant to the Company.

Creates, updates and keeps current all SOX-IT documentation in the Protiviti portal as well as in appropriate hardcopy locations.

Documents SOX-IT policies and procedures for all locations, and ensures compatibility with business department policies and
procedures.

Provide direct training and oversight to all employees, contractors, alliance, or other third parties with information security clearance
on the SOX-IT policies and procedures.

Initiate activities to create and imbed SOX-IT awareness throughout the Company.

Manages the annual SOX-IT project, coordinating all work efforts among UAFC Internal Audit, Protiviti, and Ernst & Young
external audit staff to ensure that project goals, deliverables and milestones are accomplished.

Develops Microsoft Project-based project plans specifying project phases tasks, deliverables, milestones, resources and task duration.

Generates numerous project plan reports including Gantt charts, project schedules, task lists and resource loading reports.

Identifies all annual SOX-IT project deliverables, milestones, and required tasks

Coordinates activities of the SOX-IT audit team, including monitoring of all change management and logical security weekly audit
work.

Ensures 100% compliance from all IT staff with policies and procedures, and escalates exceptions to the Vice President/CSO-IT and
the CIO as needed.

Recommends and oversees IT-related remediations and process improvements resulting from the performance of audit activities.

Prepares the final SOX-IT audit management response to ensure that all findings and recommendations are addressed in a timely
manner.

Manages activity within the Protiviti SOX portal relating to IT activity.

Creates and maintains the annual SOX-IT calendar of events, and coordinates activities with the Corporate SOX Committee.

Coordinates all activities with the quarterly logical security recertification process to ensure compliance with IA, internal and external
audit findings and recommendations.

Assists in audit of the IT and Corporate disaster recovery plans and other IT-related corporate initiatives as required.

Coordinates gathering of information and completion of all documents to satisfy all internal and external audits (state audits, third-
party audits, government audits).

Acts as a personal liaison for all auditors and examiners from these organizations.

Required Skills
Very strong knowledge of IT project management methods and techniques.

Knowledge and experience in administration of Sarbanes Oxley standards relating to Information Technology.

Knowledge and experience of various IT governance standards (CobiT, COSO, ISO17799, ITIL, etc.).

Knowledge and use of Microsoft Project and other Microsoft Office products.

Bachelor's degree (B. A.) from a four-year college or university;

8+ years in IT project management

2+ years in IT-SOX project management.

Professional association with Sarbanes-Oxley and other related professional organizations

 

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8. Senior Analyst - Sarbanes Oxley Compliance

Location: CA United States

Responsibility for the execution of the annual SOX compliance process for respective business unit ("BU"):

Conduct assessment of control effectiveness for respective Business unit ("BU")

Assist BU in documentation of controls, process flow documentation and SOX narrative updates

Perform control "walkthroughs" with BU to assess control effectiveness; perform and/or oversee/coordinate SOX testing

Meet with BU frequently to understand business, processes and changes to control environment

Plan and execute the ongoing re-assessment of control design to facilitate ongoing SOX effort; facilitate continuous reduction of
manual controls.

Provide support for key SOX stakeholders (control owners, IA, PWC & senior management)

Oversight of Regulations AB compliance & controls for ABS transactions

 

9. Director of Sarbanes-Oxley Compliance, Vice President

Location MA-Boston

The Director of Sarbanes Oxley Compliance will be highly regarded with an excellent track record in his or her current environment.

The successful candidate must be a strong, decisive, results oriented leader who can develop and manage relationships across the
company and with a wide variety of partners, based on teamwork and knowledge.

The following details specific responsibilities for this critical role.

" Preparing annual projects scoping analysis and project planning that complies with SEC guidance.

" Preparing presentations/updates to the Corporate Controller for meetings with the Examining and Audit Committee.

" Preparation of quarterly and annual SEC related certifications including all work needed to support those representations.

" Coordinating with E&Y and Corporate Audit on SOX related items.

" Providing direction and guidance to senior members of the Finance Network on SOX questions and issues.

" Interacting with and providing guidance and direction to the IT Governance Group on SOX work.

" Attending SOX audit closing meetings with business area division and area controller and division and area executives.

" Tracking and status reporting of all business area documentation, testing and testing exceptions.

" Reviewing and classifying the severity of all operating effectiveness testing exception.

" Staying current of evolving guidance from the PCAOB, SEC and the Big 4 Accounting firms.

" Staying current with the reporting and accounting activities of the State Street Finance Group.

" Staying current with the business operations of business units and staff functions as they impact internal controls over financial
reporting.

" Directing communications and operations of the Sarbanes Oxley PMO.

" Maintaining administration and content of the Open Pages applications and all other documentation needed to satisfy SEC
guidelines.
 

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10. Sarbanes Oxley Senior Business Analyst

Location: Indianapolis
Salary: $90K

Ideal candidate will have 7+ years of overall experience in accounting with prior Big 4 public accounting experience preferred.

A Bachelor's in Accounting is a must, and advanced degrees or certifications are a definite plus.

You will have experience or exposure to manufacturing and have a strong track record working with or in a Sarbanes-Oxley
compliance environment.

You will be an excellent communicator who is a self-starter that works well either independently or as part of a larger group.
 

11. IT Audit / SOX / COSO / Internal Controls / Documentation

Location: New York
Base salary: $80K

A major Insurance company, is seeking a Sr. IT Audit/SOX Specialist to join their team based in NYC.

Position Duties / Requirements:

· Document IT internal controls

· Strong knowledge of Sarbanes-Oxley and COSO standards
· 3+ years related IT Audit/SOX experience
· Bachelors degree in Accounting or Finance
· Public accounting experience is required
· CISA certification is preferred
 

12. Sarbanes Oxley Risk Analyst

Location: New York

Ideal candidate will have a minimum six plus year's SOX background out of major CPA firm. MBA preferred but not required

Assist in ensuring that the business continues to follow a risk-driven approach to self-assessments and key risk indicators that
broaden scope beyond SOX risks and controls, while simultaneously leveraging management controls already in place.

Streamline SOX efforts in view of risks, and recent PCAOB guidance allowing Co's to move towards leveraging monitoring controls
already in place at the organization

Assist in achieving SOX compliance relative to ensuring that internal controls are present; scoping, identification of monitoring
controls, and evaluating control effectiveness etc.

Assist Relationship Managers focused on delivery of broader OR framework, on an as needed basis, with a view to developing a
broader understanding of Operational Risks.

Develop strong working relationships and regularly communicate with Business unit & infrastructure management as well as
Corporate ORM on the Sarbanes Oxley compliance efforts.

Participate in the global scoping exercise to identify the critical financial statement accounts and key processes in scope for the
Company, Regions and Business Units for annual SOX compliance.

Stay abreast of Sarbanes Oxley regulatory changes and Promote the understanding of Sarbanes Oxley as a regulation, and
communicate accountability for continuous monitoring, reporting and management of the risk (including attestations), as well as
maintenance of the control environment.

Complete quality assurance reviews and develop standards for the oversight of identifying / moving towards monitoring controls,
moving towards self-assessments, gap identification and remediation, etc.
 

13. Manager of Sarbanes-Oxley Compliance

State/Location: San Francisco, CA

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Performs the annual planning and scoping for the 404-assessment process in coordination with the Finance Department and Internal
Audit Department.

Works with management (Bank wide) to recommend and implement best practice solutions, which enhance the internal control
environment and operational efficiency of the Bank.

Monitors change in business, process and systems to ensure timely identification and assessment for 302 and 404 compliance.

Coordinates closely with cross-functional teams (Internal Audit, Finance, Independent Asset Review, and Enterprise Risk
Management etc.) to ensure an efficient and a synergistic approach to overall risk management and testing of internal controls.

Evaluates audit findings of internal and external auditors, bank regulators and management to identify control deficiencies and assist
with their remediation.

Monitors and reports identified control design and effectiveness deficiencies and drives the remediation efforts.

Provides on-going training to business units on internal controls over financial reporting and related responsibilities.

Periodic reporting to senior management and executive management (when required).

Support ongoing enhancements to the design and functionality of the Bank's automated Risks and Controls monitoring software tool
(Paisley's Risk Navigator).
 

14. Sarbanes-Oxley Reporting Manager

Location: Boston, Massachusetts

§ Serve as a subject matter expert on the Sarbanes Oxley Act (S-O), monitor changes in laws, regulations, interpretations, and
applicability to the Company.

Ensure that changes to the Act are fully incorporated and implemented in applicable policies, procedures and practices within
required timeframes.

Respond to inquiries and research questions as needed.

§ Manage the day-to-day activities supporting the Company's S-O compliance work including; coordinating with Affiliate Partners,
and the Parent Company's management team to maintain the policyIQ (PIQ) database of documentation for risks, controls, and
tests and make sure it is current while confirming status of key controls while also ensuring key controls are evaluated for design and
operating effectiveness on a quarterly basis and for year-end reporting.

§ Confirm the status of key control testing performed at each Affiliate Partner and the Parent Company's management team.

§ Coordinate the communication between management, internal audit and the Company's external audit firm to minimize
redundancy of work and enhance audit coverage.

§ Work with the Parent Company's and Affiliate's Chief Financial Officer to assist the Company's external audit firm to ensure
appropriate and timely access to information necessary for them to complete their work.

§ Continue to develop, implement and manage S-O compliance process. The sustaining process includes, but is not limited to, the
following:

o Perform the quarterly scope review of financial statements and disclosure risks, controls and tests
o Monitor documentation maintenance by process owners
o Manage the ongoing identification of key controls
o Monitor and provide feedback on each of the Parent Company's and Affiliate Partner's annual testing plan of key controls
o Supervise the implementation of management action plans to address any control deficiencies.

§ Assist new, majority-owned Affiliate Partner with implementation of S-O. Meet with Affiliate Partner management to review
purpose of S-O, provide PIQ training, develop an implementation plan for documentation and testing key controls and confirm
financial and personnel resources. Leverage existing Affiliate Partner documentation where appropriate.

§ Overseeing and ensuring that S-O issues are being remediated in a timely and complete manner across the Company.

§ Prepare periodic status reports and report to Company's management and the Audit Committee on the status of the Company's
compliance with S-O and any issues pertaining to successful compliance with the Act.

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§ Prepare periodic status reports and report to Affiliate Partner Board of Directors or Audit Committee on the status of the
Company's compliance with S-O and any issues pertaining to successful compliance with the Act, when applicable.

§ Monitoring changes in relevant laws, regulations and trends and distribute related information in a timely manner to relevant
entities across the Company.

§ Leverage training opportunities to stay current with areas of responsibility, share knowledge with team members and management,
and enhance value added service.

§ Develop and participate in 404 Compliance Training Programs as needed.

§ Travel periodically to visit and work with each Affiliate Partner on internal audit areas.

QUALIFICATIONS:
§ Prior work experience in banking/finance/public accounting with S-O, internal control or internal audit a plus.

§ A college graduate, an MBA preferred; certifications in audit or compliance a plus.

§ Experience with and a strong understanding of Section 404, Internal Controls over Financial Reporting, rules (SEC and PCAOB).

§ Experience identifying risks associated with processes (risk assessment), identifying internal controls within a process and
performing gap analysis to determine if one or more risks are not mitigated / eliminated by one or more internal controls.

§ Excellent organization and project management skills and ability to multi-task and prioritize competing priorities.

§ Solid technical skills in Word, Excel, Powerpoint and database management.

 

15. Sr. Analyst - IT SOX

Documents internal controls under Sarbanes Oxley.

Designs procedures to test the controls

Tests internal controls under Sarbanes Oxley

Evaluates internal control deficiencies.

Proposes remediation to management.

Monitors implementation of remediation plans

Performs other projects for Sarbanes Oxley implementation as required and assists in managing EmblemHealth's automated
Sarbanes Oxley compliance tool

Knowledge Skills & Abilities:

Technical expertise in Sarbanes Oxley compliance
Attention to detail
Ability to manage multiple tasks
 

16. IT Audit Manager

Location: Tennessee

IT Audit Manager to join the corporate office audit team.

This key team member will assist team management with Sarbanes-Oxley compliance activities, internal audit projects, and
consulting activities related to Information Technology.

The successful candidate will have a Masters degree and seven to ten years of progressive IT internal audit experience.

Certified Information Systems Auditor (CISA) strongly preferred.

 

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17. Sarbanes Manager

Location: GA
$80k plus bonus

Audit experience and strong understanding of internal controls and Sarbanes Oxley implementation preferred.

Manage staff responsible for the assessment of key controls

Provide subject matter expertise and remediation guidance to process owners.

Develop and maintain data and process integrity audits, monitor the controls and compliance across the organization, and provide
recommendations and reporting to all levels of management.
 

18. Traffic Manager

Location: Boston, Massachusetts

- Manage the station's inventory to help maximize revenue yield by effective and proactive traffic management

- Work with sales management to shape pricing and availability and manage demands

- Manage oversell, work logs, and scheduling

- Order Input

- Ensure Sarbanes Oxley guidelines and CBS Policies are adhered to

 

19. Information Security Analyst

Security Analyst with Expertise in Regulatory Compliance

Security Analyst needed for a large healthcare organization

This Fortune 100 company is seeking a seasoned Security Analyst to effectively manage and execute multiple, enterprise level
program(s) in support of PCI-DSS, Sarbanes-Oxley, and other applicable regulatory compliance efforts with no finding.

For this role, you will define and deliver to the agreed budget, scope, and timelines.

You will Assess and implement compliance effort(s) as they surround the Payment Card Industry Data Security Standard (PCI-DSS),
Sarbanes-Oxley, GLBA, and/or HIPPA.

You should have demonstrable experience working in an information security consulting role with skills in identifying opportunity to
streamline and/or enhance current assessment methodology.

Experience should include working knowledge in PCI (Visa CISP, MasterCard SDP, Discover DISC, Amex DSOP) and preferably
one more regulatory area including, but not limited to: ISO 17799/BS 7799, Sarbanes-Oxley (SOX), GLBA, HIPPA. Business casual
work environment, class A office space, and excellent benefits!

Client requires Green Card or U.S. Citizenship for this position.

 

20. Sarbanes Oxley Compliance Auditor

Total Compensation: $70,000 - $80,000 annual salary

The associates in the job will be responsible to validate documentation, perform walk-through and testing and evaluate the results of
both.

They will also be heavily involved in training associates on how to perform their own self-assessments and testing.

The sites involved include plants, warehouses, retail stores and corporate headquarters.

This person will work with all levels of associates from the Plant Manager through a receiving associate as well as levels of corporate
management.

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They will be responsible to perform management's testing for Sarbanes-Oxley compliance in multiple plants, distribution centers,
retail stores and corporate headquarters.

Position Responsibilities
1. Help locations complete and evaluate the effectiveness of their Sarbanes-Oxley documentation.

2. Perform quarterly testing at multiple locations throughout the quarter.

3. Assist locations in re- mediating any Gaps found during documentation, walk-through and testing processes.

4. Train associates to perform future documentation walk-through and testing.

5. Evaluate and improve internal control processes.

6. Ensure compliance with Sarbanes-Oxley Section 404 requirements.

7. Accounting research (GAAP ) and project documentation for NAT business initiatives

8. Select project management and SOX research training development

 

21. Corporate IT Auditor

Job Location: New York,New York
Required Skills: Relevant certification
Experience: 4 years
Job Length: Direct Placement
Travel Requirement: Not required
 

22. Manager Finance Compliance/Int Audit

Large, private healthcare company seeking Manager of Financial Compliance for internal audit SOX responsibilities.

Required Skills for Manager Finance Compliance/Int Audit Job:

» HEALTHCARE INTERNAL AUDITOR

» SARBANES OXLEY
» CPA
» CFE
» INTERNAL AUDIT
 

NOTE 1: You can develop a checklist with important Sarbanes Oxley related tasks from the above detailed job
descriptions.

NOTE 2: It is good to start learning whatever you have read above and you do not know.

NOTE 3: Sarbanes Oxley knowledge and experience will always be of paramount importance in risk and
compliance management.
 

Dear members,
Visit the website of our association - www.sarbanes-oxley-association.com

Write in your CV, resume, websites etc. that you are members of the Sarbanes Oxley Compliance Professionals Association
(SOXCPA).

Take advantage of the distance learning and online certification program of our Association - at a cost that is unheard of.
www.sarbanes-oxley-association.com/Distance_Learning_and_Certification.htm

My best wishes,

George Lekatis

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President of the Sarbanes Oxley Compliance Professionals Association

General Manager, Compliance LLC
1200 G Street NW Suite 800, Washington DC 20005, USA
Tel: (202) 449-9750
Email: lekatis@sarbanes-oxley-association.com
Web: www.sarbanes-oxley-association.com

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