Controls and SOX Manager

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Company: Red River Bank

Location: Los Angeles, CA 90079

Description:

  • Reporting to: Chief Audit Executive
  • Summary: Responsible for managing all aspects of the Red River Bancshares, Inc. controls and SOX programs.


  • Qualifications:
  • Accounting, auditing, finance or business degree required.
  • CPA or CPA candidate preferred.
  • Banking, bank auditing or bank operations knowledge or experience required.
  • Knowledge of SOX 404 requirements, COSO framework, PCAOB Auditing Standards, risk assessment practices and internal control design.
  • Experience in conducting SOX business process reviews and creating process documentation
  • Familiar with assessment and testing of internal controls over financial reporting.
  • Experience working with a public company or a large public accounting firm beneficial.
  • Finance, analysis, audit, systems, budgeting, reporting experience beneficial.
  • Propensity to investigate and resolve issues and problems completely.
  • Extremely organized and detail oriented.
  • Self-starter and motivated.
  • Capable of managing many projects simultaneously.


    • Duties and Responsibilities:

  • Control and SOX Oversight
  • Oversee the development and implementation of the annual plan to support the Company's compliance with the Sarbanes-Oxley Act (effective January 1, 2024).
  • Assist EMC with all control and SOX related matters.
  • Coordinate control and SOX risk assessments
  • Assist with the design, implementation, and assessment of internal controls with respect to acquisitions and other growth projects, as applicable


  • RRB Control Process Advisor
  • Provide guidance to operational/financial control owners to help implement standardized internal controls, documentation, and testing practices to ensure the Company's compliance with SOX, including development of appropriate remediation activities.
  • Support all RRB departments to evaluate, and adjust processes and controls as needed.
  • Lead meetings with process owners in documentation of business processes, controls, process narrative, and data flow documentation, as needed
  • Assist process owners in the identification of risks and design of controls
  • Involved with all new or changings systems and processes in order to advise on controls.
  • Meet with process owners to understand business processes and changes to the control environment
  • Lead root cause analysis discussions with process owners to identify the source of deficiencies
  • Coordinate and lead remediation efforts for respective business units; develop action plans and monitor efforts for remediation


  • Control Matrix Management and Support
  • Manage and maintain the internal control and SOX documentation repository in the appropriate system. SOX matrixes in Workiva. Control matrixes in Word.
  • Coordinate control and SOX matrix merge process for 2024.
  • Assist RRB departments in reviewing and updating control and SOX matrixes.


  • Audit Support
  • Plan and coordinate SOX walkthroughs and annual testing engagements performed by Internal and External Audit
  • Facilitate walkthroughs, meetings, audit sample collection, etc. and other tasks as needed to maintain an efficient and effective SOX program.
  • Collaborate with external auditors to define annual SOX scoping and ensure efficient and adequate coverage of financial controls.
  • Lead efforts to research testing exceptions and deficiency identification

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