SOX Internal Controls Manager

  • Rocky Mountain Bank
  • Remote (Montana, USA)
  • Jan 12, 2023
Full time Accounting Analysis Banking

Job Description

The Sarbanes-Oxley (SOX) Internal Controls Manager oversees and has overall responsibility for the development and maintenance of the company’s SOX 404 compliance activities. This position works closely with the internal process owners, internal and external auditors, and other stakeholders in support of the company’s internal controls and execution of the SOX program. In addition, this position provides leadership in risk assessments, internal controls assessments, and other regulatory, operational and compliance initiatives that support a strong internal control environment. The SOX Internal Controls Manager provides guidance to internal stakeholders regarding best internal control practices that minimize risk to the organization and advise on process improvements.

Primary Responsibilities

  • Oversees the development and execution of the company’s SOX compliance program while ensuring compliance with regulatory rules and deadlines
  • Monitors changing business environment for items that may impact the company
  • Identifies risks and provide guidance on process or policy improvements by leading discussions with control owners and business leads
  • Ensures internal controls are adequately designed and implemented while working collaboratively with control owners.
  • Leads effective testing and reviews all control deficiency action plans and monitors for complete remediation. Concludes on the overall operating effectiveness and adequacy of controls.
  • Prepares management reporting on the internal control environment, including control deficiencies, for executive leadership and the audit committee.
  • Acts as the key point of contact for the company’s external auditors, internal auditors and process owners on all matters related to SOX compliance, including evaluation and resolution of identified control deficiencies.
  • Completes annual E-Learning Plan and Bank Secrecy Act (BSA) training as assigned and keeps up-to-date knowledge of BSA as it relates to the job function.

Secondary Responsibilities

  • Performs other duties as assigned.

Management Responsibilities

  • Works with department staff on individual professional development and career development opportunities. Facilitates team members in creating individual goals and development plans that align with the department goals.
  • Works with HTLF's Talent Acquisition team to identify and hire the most qualified and talented individuals to fill open positions.
  • Provides information and on-going feedback to department staff regarding expectations and performance, salary adjustments and/or promotions.
  • Addresses and resolves all performance concerns and issues in a timely manner.
  • Prepares and conducts annual performance reviews within established deadlines.


  • Bachelors Accounting required
  • 5-7 years in Financial/SOX audit experience from either a Big 4 public accounting practice (preferred) or an internal audit organization of a public company required
  • Extensive knowledge of internal controls and strong competency in accounting and finance required
  • Must be able to work on a self- initiated basis and in a team environment, and able to work extended hours when needed required
  • Previous experience leading of team toward engagement and high performance required
  • Certified Public Accountant (CPA) - American Institute of Certified Public Accountants - AICPA

Standard ADA Selection: Office and Administrative Support