Also referred to as: Sarbanes Oxley Director, SOX Compliance Director
Requirements and Responsibilities

Regulatory Auditing Director oversees all aspects of an organization's auditing strategy and activities for regulatory compliance. Leads the development and implementation of internal controls, best practices and strategies to identify process deficiencies and implement improvements. Being a Regulatory Auditing Director prepares for and participates in external regulatory inspections and internal audits. Ensures that all required regulatory reporting meets content and scheduling requirements. Additionally, Regulatory Auditing Director incorporates document reviews, protocol reviews, validation reviews, and training programs as part of auditing processes. Maintains an up-to-date and in-depth knowledge base of the financial regulations, required processes, and industry/regulatory agency standards that govern a business or a product. Requires a bachelor's degree. Typically reports to top management. The Regulatory Auditing Director manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. To be a Regulatory Auditing Director typically requires 8+ years of managerial experience. Comprehensive knowledge of the overall departmental function.

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