IT SOX Manager - New York - 9635BR


Manages the Company's Sarbanes Oxley Act (SOX) IT compliance program in accordance with the internal audit plan and IA standards. Assists with the execution of the Department’s annual IT audit plan, internal consulting on IT control issues and value-add projects throughout the organization.

  • Develop a proficient understanding of Moody's ratings and analytics business, compliance and operating policies.
  • Assist Internal Audit management with defining and updating the annual audit plan based on associated financial, operational and compliance risks.
  • Develop strong working relationships with the Information Technology, Information Security teams, and business stakeholders.
  • Coach & develop audit team members.
  • Execute the SOX IT activities (planning, design, testing, and deficiency analysis) with the following responsibilities:

  • Liaison with external audits and management to plan and communicate the detailed scope of audits and SOX activities.
  • Ensure controls are designed to address key risks
  • Develop quality SOX documentation aligned to IA standards (narratives, flow charts, RCMs, control descriptions)
  • Complete and document detailed audit steps in compliance with departmental standards.

Stakeholder Value
  • Assist in identifying process/control owners
  • Educate process/control owners about the SOX process and objectives
  • Partner with management and the external auditors to develop a repeatable SOX model

  • Oversee supplemental 3rd party internal audit professionals to ensure deliverables are delivered timely and within budget
  • Ensure timely completion of audits and SOX activities
  • Communicate all aspects of the engagement (resources, status, results, risks to the program) timely
  • Assist with updating Internal Audit and SOX procedures and templates to maintain efficiencies and effectiveness

Internal Audit
  • 5+ years of experience in the IT auditing field, preferably public accounting experience
  • IT control knowledge regarding User Access, Change Management, IT Operations, Report Baselining, and Interfaces
  • Previous corporate experience related to SOX (1-2 years)
  • Certified Information Systems Auditor (“CISA”) or equivalent credential
  • Comprehensive knowledge of Sarbanes-Oxley and COSO 2013
  • Excellent written, verbal and strong interpersonal skills
  • Excellent team player who works extremely well in a in a collaborative environment
  • Attention to detail
  • Ability to think critically and exercise sound judgment.
  • Fully explores problems and/or opportunities and provides solutions proactively.
  • Independent thinking combined with business pragmatism
  • Focus on results with a sense of urgency
  • Listens effectively
  • Ability to work both independently and as a member of a team in a fast paced environment and handle multiple tasks simultaneously
  • Ability and willingness to learn and develop others
  • Understanding and experience of a global organization
  • Proficiency in a financial system: PeopleSoft Financials highly desirable
  • Proficiency in MS Word and Excel
Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $3.5 billion in 2015, employs approximately 10,400 people worldwide and maintains a presence in 36 countries. Further information is available at
Moody’s is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody’s also provides reasonable accommodation to qualified individuals with disabilities in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.

For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.

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MIS and MSS Candidates are asked to disclose securities holdings pursuant to Moody’s Policy for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.