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State Street Corporation.

AVP - SOX Compliance Program

State Street Corporation. - Boston, MA

Job Description:

AVP – SOX Compliance Program

The Financial and Regulatory Assurance group is a second line of defense group in the Controller’s Organization within Corporate Finance.  The Financial Assurance team is responsible for the execution of the Sarbanes Oxley (SOX) Compliance program across the entire organization. Key functions of the group include determining the material accounts, business areas/locations, and risks required to be addressed as part of the SOX program, working with business and accounting personnel to identify controls throughout the organization that mitigate financial reporting risks, testing identified controls, and supporting the remediation of control deficiencies identified. 

Key responsibilities:

Assist with enterprise-wide scoping of accounts and disclosures (includes both quantitative and qualitative considerations), SOX critical applications, spreadsheets and models, and third party service providers (e.g., SOC 1 report)

Leading and participating in SOX reviews, including assessing the internal control environment by conducting walkthroughs, developing testing strategies and performing control and sample data testing

Drafting recommendations and liaising with the business units to remediate risks, findings and gaps identified during the validation process

Participate in discussions with process and control owners to assess inherent risks, identify controls and  control gaps, by conducting walkthroughs

Challenge, assess and detail test the design and operating effectiveness of key controls

Identify,  document and maintain evidence supporting process and controls objectives

Assist in the identification and risk assessment of issues and suggest control improvements to remediate exceptions identified; work with management to track issues to resolution

Provide updates to management as needed

Engage key business partners to facilitate completion of assigned deliverables and explain results

Cultivating relationships across the Finance organization with key constituency groups, such as Controllers, Operations, Treasury, Technology and Risk

Identify and drive transformation efforts to continue to enhance the functionality of the SOX Compliance Program

Stay current on new technical literature applicable to the internal control process (e.g., PCAOB guidance, SEC, etc.)

Providing day to day coaching and guidance to teammates


Bachelors’ degree in accounting, finance or a related field

CIA or CPA certifications preferred

6-8 years of Audit, Risk or Compliance experience, preferably at a large financial institution

Strong knowledge of banking products and services, especially loans, deposits, securities and derivatives

Strong understanding of US GAAP, Sarbanes Oxley, and COSO, and PCAOB requirements.

Strong understanding and appreciation of the internal control environment.

Must be proactive and goal oriented strategic thinker, with ability to identify creative solutions

Staying current with evolving industry and regulatory changes and analyzing impact to external reporting process and compliance.

Exceptional analytical and critical thinking abilities; able to develop and convey a point of view

Strong interpersonal, oral and written communication skills; ability to effectively challenge and influence

Strong attention to detail and accuracy

Ability to multi-task and take on a challenging workload and assignments

Strong team building, planning and project management skills driven by process improvements required

8 days 13 hours ago

State Street Corporation.


AVP - SOX Compliance Program State Street Corporation. - Boston, MA, United States


Location: Boston, MA

Company Profile:
State Street is a leading financial services provider serving some of the world’s most sophisticated institutions. We offer a flexible suite of services that spans the investment spectrum, including investment management, research and trading, and investment servicing.