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

Regulatory Auditing Manager manages an organization's auditing strategy and activities for regulatory compliance. Develops and implements internal controls, best practices, and strategies to identify process deficiencies and implement improvements. Being a Regulatory Auditing Manager 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 Manager 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 a head of a unit/department. The Regulatory Auditing Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. To be a Regulatory Auditing Manager typically requires 5 years experience in the related area as an individual contributor. 1 - 3 years supervisory experience may be required. Extensive knowledge of the function and department processes.

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