• SOX Analyst / Sarbanes Oxley Compliance

    Job Locations US-CA-Los Angeles
  • Overview

    The Senior SOX Analyst is responsible for assisting the Risk Manager with managing and facilitating the execution of the Bank’s Sarbanes Oxley (‘SOX’) compliance program. This position will have responsibility for the implementation of certain components of the SOX program such as planning, coordinating, and executing all phases of the SOX program. The responsibilities of this position will also include providing input to the Risk Manager and other Business Leadership on overall best practices in SOX compliance and business risk management.


    Ensures compliance with established Company policies and procedures. Demonstrates knowledge of, adherence to, monitoring and responsibility for compliance with state and federal regulations and laws as they pertain to this position including but not limited to the following: Regulation Z (Truth in Lending Act), Regulation B (Equal Credit Opportunity Act), Home Mortgage Disclosure Act, Real Estate Settlement Procedures Act, Fair Credit Reporting Act, Bank Secrecy Act in conjunction with the USA PATRIOT Act, Anti-Money Laundering and Customer Information Program, Right to Financial Privacy Act (state and federal) and Community Reinvestment Act.




    • Assists with the identification and management of key internal control over financial reporting (“ICFR”) risks and control issues.
    • Assists with the collection and analysis of information for preparation of monthly and quarterly risk management SOX reports to Bank management.
    • Provides support in the development and implementation of complex key risk indicators and key performance indicators, plus tracking and trend reporting of same for the organization.
    • Assists with the annual planning of the company's SOX compliance efforts (e.g., risk assessments, materiality, scoping significant accounts, establish milestones of key SOX activities, etc.).
    • Assists with process walkthroughs to identify, validate and document significant classes of transactions, financial reporting risks and key/non-key controls.
    • Assists with the preparation of  narrative descriptions, flowcharts, and other SOX related documentation identifying control points within business processes.
    • Assists with assessing and testing entity level controls using the COSO 2013 framework.
    • Assists with the  monitoring of  control deficiencies and support management in the development of remediation plans to address deficiencies in a timely manner.
    • Assists in ensuring action plans associated with identified SOX deficiencies are communicated and actioned within applicable timelines
    • Assists with the collection of periodic process owner sub-certifications.
    • Assists with the development and presentation of SOX internal controls training to personnel.
    • Recommends and implements best practices in SOX compliance to continuously improve the SOX program.
    • Assists in ensuring all relevant management develop and communicate risk management policies, risk appetite and risk limits within agreed timeframes
    • Assists in establishing, communicating and facilitating the use of appropriate SOX methodologies, tools and techniques
    • Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions.
    • Follows policies and procedures; completes tasks correctly and on time; supports the company’s goals and values.
    • Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions.  The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one’s own actions and conduct.
    • Performs duties specific to the position and other functions as assigned.




    These specifications are general guidelines based on the minimum experience normally considered essential to the satisfactory performance of this position. The requirements listed below are representative of the knowledge, skill and/or ability required to perform the position in a satisfactory manner. Individual abilities may result in some deviation from these guidelines.


    Bachelor’s degree from an accredited university, degree in Accounting, Finance, or related field a plus; and 2 or more years of related experience and/or training. Work related experience must consist of experience in the financial services industry including at least 1 year in public accounting, internal audit or SOX compliance. Educational experience, through in -house training sessions, formal school or financial industry related curriculum, should be business or financial industry related. CPA, CIA, CISA, CRMA or other risk and control certification is a plus


    • Speaking, reading and writing in Korean is a plus.
    • Ability to deliver bilingual customer service in Korean, Gujarati, Urdu, Hindi, Chinese, Vietnamese, or Spanish is a plus. 
    • Basic understanding of SOX compliance requirements and standards, COSO Framework, US GAAP, and PCAOB standards
    • Knowledge of bank operations and lending products and services; related state and federal laws and regulations, and other Bank operational policies and procedures is a plus
    • Excellent organizational and time management skills with the ability to provide leadership, supervision and training for employees using positive supervisory techniques to ensure maximum productivity; demonstrated ability in organization and delegation skills.
    • Intermediate to advanced skills in MS Office suite (Excel, PowerPoint, Word, and Visio). Experience with Workiva-Wdesk platform is a plus
    • Intermediate typing skills to meet production needs of the position.
    • Intermediate verbal, written and interpersonal communication skills with the ability to apply common sense to carry out instructions and instruct others, train personnel, read, analyze and interpret documents and professional journals , understand procedures, write reports, correspondence and procedures, speak clearly to customers and employees.
    • Basic math skills; ability to calculate interest, commissions, proportions, and percentages; balance accounts; add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals; locate routine mathematical errors; compute rate, ratio and percent, including the drafting and interpretation of bar graphs.
    • Thorough understanding of management procedures; ability to plan department or Company activities (setting objectives, developing strategies, budgeting, and developing policies and procedures); initiative to organize various functions necessary to accomplish department or Company activities; effectively staff (selecting, training and developing employees); directing employees towards the desired objectives (delegating, motivating, resolving problems); controlling the function (developing performance standards, measuring results, taking corrective action and rewarding employees as appropriate).
    • Ability to deal with complex problems involving multiple facets and variables in non-standardized situations.
    • Ability to work with minimal supervision while performing duties.
    • Current driver’s license and a vehicle with appropriate insurance coverage if required to drive in the course of performing assigned duties and responsibilities.


    We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.


    We will consider for employment all qualified Applicants, including those with Criminal Histories, in a manner consistent with the requirements of applicable state and local laws, including the City of Los Angeles’ Fair Chance Initiative for Hiring Ordinance.


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