Senior Auditor - SOX Testing Lead
Columbia Bank
Irvine, CA
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JOB DETAILS
SALARY
$70,000–$120,000 Per Year
LOCATION
Irvine, CA
POSTED
30+ days ago
Effectively execute a wide range of assurance activities to assess risks and controls over assigned processes, including leadership and oversight of internal control over financial reporting (ICFR) testing under SOX. Work in agile teams to prioritize assurance work, strategic initiatives, and required tasks with flexibility to shift with department priorities, including SOX compliance timelines and testing milestones. Assigned tasks, projects, and audits may report to different supervisors in a matrix team. Monitor risks and understand data trends of designated areas and provide recommendations for future coverage, with a focus on control operating effectiveness and recurring SOX issues. Provide effective challenge to audit work products to maintain quality standards aligned to IIA and department guidance, as well as SOX documentation and testing requirements. Champion continuous improvement within processes and technology to enhance SOX testing quality, efficiency, and audit readiness.
+ Work within a team to plan, scope, and execute risk‑based assurance projects, including SOX control testing. Deliver high quality results, on‑time, within budget expectations, and in conformity with applicable professional and regulatory standards (including Sarbanes‑Oxley). Formulate meaningful, well‑supported audit conclusions and provide practical recommendations for areas requiring attention or corrective action.
+ Offer ongoing guidance for others on audit methods and procedures, including SOX documentation and testing standards, serve as a point of escalation within assurance projects and programs, and assist in prioritization of tasks.
+ Continuously monitor the risk profile of assigned processes by analyzing data trends, incorporating internal and external factors, and assessing assurance activities. Document results within risk assessments and recommend changes to the multi‑year audit plan as applicable, including impacts to SOX scope and reliance strategies.
+ Maintain clear communication channels to keep audit clients and Internal Audit Management aware of progress, challenges, and issues, including control issues and SOX status updates.
+ Develop and maintain effective working relationships with audit clients, business unit leadership, risk/compliance partners, vendors, and within the Internal Audit department. Represent Internal Audit on various project, risk, and management committees, including those impacting financial reporting controls.
+ Present the results of audits and special projects to Internal Audit Leadership, Executive Management, and External Auditors, including coordination of SOX reliance and walkthroughs. Support responses to regulatory requests.
+ Participate in working groups to support the Internal Audit strategic vision and priorities, including SOX program enhancements.
+ Demonstrates compliance with all bank regulations for assigned job function and applies to designated job responsibilities – knowledge may be gained through coursework and on‑the‑job training. Keeps up to date on industry and regulation changes, including SOX‑related guidance.
+ Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job‑specific training.
+ Maintain a working knowledge of Bank's written policies and procedures regarding Bank Secrecy Act, Regulation CC, Regulation E, Bank Security and other regulations as applicable to this job description, as well as internal control and financial reporting policies.
+ May be asked to coach, mentor, or train others and teach coursework as subject matter expert, including SOX processes and expectations.
+ Actively learns, demonstrates, and fosters the Columbia corporate culture in all actions and words.
+ Takes personal initiative and is a positive example for others to emulate.
+ Embraces our vision to become “Business Bank of Choice”
+ May perform other duties as assigned.
About You:
+ 4–7 years of experience in internal or external auditing, risk management, compliance, or related role; or combination of business/operational and auditing/risk management experience required, with exposure to SOX or ICFR preferred.
+ Requires proficient auditing or operational expertise in one or more of the following areas: Compliance, Legal, Banking Regulatory, Information Technology, Information Security, Data Analytics, Digital Banking, Enterprise Risk Management, Credit risk, Market risk, Operational risk, Model risk, Liquidity risk, and/or Sarbanes‑Oxley. Broad, general knowledge of the banking and financial services industry and operations preferred.
+ Proficient knowledge and skills in auditing, compliance, or risk management approaches, tools, and techniques required.
+ Strong project management skills required with demonstrated ability to work as part of a high‑performing team – ability to plan and organize, lead teams, shift priorities, and manage complex projects. Exposure to agile methodologies preferred, including SOX program delivery cycles.
+ Effective professional communication, interpersonal, and presentation skills required. Willingness and ability to develop relationships with co‑workers and audit clients, including control owners and external auditors.
+ Proven commitment to continuous learning, ability to work as part of a team using remote collaboration tools, and comfortable sharing ideas with others required.
+ Demonstrated intellectual curiosity, strong moral compass, and continuous improvement mindset required.
+ Previous bank internal auditing or external auditing experience considered preferred.
+ Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc. preferred.
+ Data analytics and visualization, automation, and generative artificial intelligence (Gen AI) experience preferred, particularly as applied to SOX testing and monitoring.
+ Occasional travel may be required.
The pay range for this role is $70,000 - $120,000.
The pay rate for the selected candidate is dependent upon a variety of non-discriminatory factors including, but not limited to, job-related knowledge, skills, and experience, education, and geographic location. The role may be eligible for performance-based incentive compensation, and those details will be provided during the recruitment process.
Evergreen:
This posting is part of an evergreen requisition to create a pipeline of talent. If you are interested in potential opportunities in this area, we encourage you to apply. While we may not have an immediate opening at this time, we are always looking for top talent and will reach out as positions become available in the posted locations.
Our Benefits:
We are proud to offer a competitive total rewards package including base wages and comprehensive benefits.
We offer eligible associates comprehensive healthcare coverage (medical, dental, and vision plans), a 401(k)-retirement savings plan with employer match for qualifying associate contributions, an employee assistance program, life insurance, disability insurance, tuition assistance, mental health resources, identity theft protection, legal support, auto and home insurance, pet insurance, access to an online discount marketplace, and paid vacation, sick days, volunteer days, and holidays. Benefit eligibility begins the first day of the month following the date of hire for associates who are regularly scheduled to work at least thirty hours weekly.
Our Commitment to Diversity:
Columbia Bank is an equal opportunity and affirmative action employer committed to employing, engaging, and developing a diverse workforce. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, sexual orientation, gender identity, gender expression, protected veteran status, disability, or any other applicable protected status or characteristics. If you require an accommodation to complete the application or interview(s), please let us know by email: careers@columbiabank.com (careers@umpquabank.com) .
To Staffing and Recruiting Agencies:
Our posted job opportunities are only intended for individuals seeking employment at Columbia Bank. Columbia Bank does not accept unsolicited resumes or applications from agencies and Columbia Bank will not be responsible for any fees related to unsolicited resume submissions. Staffing and recruiting agencies are not authorized to submit profiles, applications, or resumes to this site or to any Columbia Bank employee and any such submissions will be considered unsolicited unless requested directly by a member of the Talent Acquisition team.
About the Company
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