Audit and Compliance Specialist

Audit & Compliance Specialist

Job Summary

Summary

The Audit and Compliance Specialist plays a critical role in ensuring the organization maintains compliance with regulatory requirements, internal policies, and industry standards such as SOX (Sarbanes-Oxley Act), GDPR, and ISO 27001. This position focuses on providing audit compliance evidence, ensuring proper internal controls over reporting, managing regulatory audit attestations, and mitigating organizational risks.

As part of a multinational information technology group, the specialist will work closely with cross-functional teams, including IT, finance, and legal, to implement and maintain robust compliance frameworks. The ideal candidate will have a strong background in audit and compliance, excellent analytical skills, and a passion for promoting ethical and transparent business practices.

• Strong understanding of SOX compliance requirements, including ICFR testing and financial reporting standards.
• Familiarity with IT compliance frameworks (e.g., GDPR, HIPAA, ISO 27001, SOC 2).
• Knowledge of financial regulations and auditing principles.
• Proficiency in audit tools and software (e.g., ACL, IDEA, or similar).
• Analytical thinking and problem-solving skills.
• Excellent communication and report-writing abilities.

Job Requirements

Audit Activities:

• Collaborate with internal and external audits, including SOX compliance audits, to report the effectiveness of financial reporting controls and IT systems.
• Ensure proper documentation and testing of internal controls over financial reporting (ICFR) to meet SOX requirements.
• Perform regulatory audit attestations, ensuring compliance with laws such as GDPR, HIPAA, and regional data protection regulations.
• Track and provide status to stakeholdlers on any audit findings.
• Prepare detailed audit reports, highlighting findings and recommendations, and present them to senior leadership.

Compliance Monitoring:

• Monitor adherence to SOX requirements, including financial reporting accuracy and internal control effectiveness.
• Ensure compliance with IT frameworks such as ISO 27001, SOC 2, GDPR, and other relevant standards.
• Stay updated on regulatory changes and ensure policies are revised accordingly to meet new compliance requirements.

Risk Management:

• Identify risks related to IT systems, financial reporting, data handling, and operational processes.
• Develop and implement risk mitigation strategies in alignment with SOX and regulatory requirements.
• Collaborate with IT and finance teams to strengthen cybersecurity and financial control measures.
• Collaborate with Assurance Services to ensure proper business continuity programs and testing are in place.
• Perform business continuity testing as need to support corporate DR and continuity requirements.

Documentation & Reporting:

• Maintain accurate records of SOX compliance testing, audit results, and regulatory attestations.
• Prepare compliance status reports for senior leadership, auditors, and external stakeholders.
• Ensure audit trails and documentation are available for regulatory reviews and attestations.

Education

Bachelor’s Degree:

• Preferred fields: Accounting, Finance, Information Technology, Business Administration, or a related discipline.

Certifications (Desired):

• Certified Information Systems Auditor (CISA)
• Certified Internal Auditor (CIA)
• Certified Public Accountant (CPA)
• Certified Compliance and Ethics Professional (CCEP)
• ISO 27001 Lead Auditor Certification
• SOX-specific training or certifications (e.g., SOX Compliance Professional Certification)

Experience:

• 7-10 years of experience in audit, compliance, or risk management roles, with direct experience in SOX compliance audits and regulatory attestations.
• Familiarity with multinational corporate environments and cross-border regulations.
• Experience working with IT systems and financial reporting processes in technology-driven industries.

Experience Level

Senior Level