SOX Manager

AssetMark is a leading strategic provider of innovative investment and consulting solutions serving independent financial advisors. We provide investment, relationship, and practice management solutions that advisors use in helping clients achieve wealth, independence, and purpose.

The Job/What You'll Do:

AssetMark is looking for a motivated, confident, and highly organized professional to join our Finance team as a SOX Manager. The ideal candidate assists the SOX Director in the in-house management of our SOX compliance effort; including but not limited to scoping, testing and documentation of SOX compliance audits. You will have broad exposure to the operations of the Company and will interact with leaders across Finance, Legal, HR, Operations, Billing, and IT as well as our external auditors and advisors. The successful candidate will have strong knowledge of SOX and operational experience working in a fast-paced, complex and team-oriented environment. This role will supervise SOX Analysts and co-sourced consultants and reports to the SOX Director.

This is a full-time position in our Concord, CA office with a hybrid work schedule.

Responsibilities:

• Support the SOX Director with design , documentation and testing of the Company's internal controls over financial reporting to ensure compliance with COSO standards and appropriate coverage of the SOX Program
• Manage the SOX 404 financial statement mapping, risk assessment and scoping process
• Manage the collection and review of third-party SSAE 18 (SOC) reports
• Manage external audit controls testing efforts, including walkthroughs, testing, audit requests and evaluation of deficiencies
• Review findings from internal and external audits and facilitate the remediation plans
• Develop and maintain close working relationships with the management teams of all major functional areas as well as external auditor, ensuring a deep understanding of key risks and processes of the organization
• Assist the SOX Director in performing assessments of the SOX impact of new initiatives, including system implementations/updates, new accounting standards and various special projects

Knowledge, Skills, and Abilities:

• Strong, in-depth knowledge of SOX, COSO, PCAOB, and US GAAP
• High degree of initiative, dependability and ability to work with minimum supervision as well as supervise work of other team members
• Advanced written and verbal communication skills
• Proficient in Microsoft Office suite applications (Excel, Word, PowerPoint, and Outlook)
• Ability to prioritize multiple tasks in a deadline-driven, dynamic environment
• Strong understanding of the Sarbanes-Oxley Act, the 2013 COSO framework and SEC guidance for management's assessment of internal controls over financial reporting

Education & Experience:

• BA/BS in Accounting, Finance, Management Information Systems, Business, or other relevant degree
• 5 years relevant work experience in SOX compliance, internal or external audit
• Experience with a publicly traded company
• Professional certification such as CPA, CA, CIA or similar required
• Recent Big 4 (assurance or advisory) or a national public accounting firm experience
• Experience with internal controls including process control design, preparation of flowcharts & control matrices, documentation and testing of controls, and identification and reporting of control "gaps" required
• Prior experience managing staff required
• Financial Services industry experience preferred
• Strong leadership, team building, and development skills with an ability to set objectives and drive result

Compensation: The Base Salary range for this position is between $120,000-$140,000.

This information reflects a base salary range that AssetMark reasonably expects to pay for the position based on a number of factors which may include job-related knowledge, skills, education, experience, and actual work location. This position will also be eligible for additional variable incentive compensation and competitive benefits.

Candidates must be legally authorized to work in the US to be considered. We are unable to provide visa sponsorship for this position.

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Who We Are & What We Offer:

AssetMark's mission is centered around helping financial advisors make a difference in the lives of their clients. To help them do that, we aim to provide advisors with holistic support. We offer compelling technology that facilitates a better client experience, consulting services that ensure advisors' businesses are running at their best and a comprehensive suite of investment solutions. AssetMark's platform empowers advisors to provide the highest level of service possible to their clients.

AssetMark's culture is driven by our mission and connected by our values; Heart, Integrity, Excellence and Respect. You will join a team that lives these values every day by doing the best and what is right in all we do and encouraging different ideas for continual success and innovation. Additionally, we offer a wide range of benefits to meet the needs of our team members and their families.

• Flex Time Off or Paid Time/Sick Time Off
• 401K - 6% Employer Match
• Medical, Dental, Vision - HDHP or PPO
• HSA - Employer contribution (HDHP only)
• Volunteer Time Off
• Career Development / Recognition
• Fitness Reimbursement
• Hybrid Work Schedule

As an Equal Opportunity Employer, AssetMark is committed to building a diverse and inclusive workplace where everyone feels valued.