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SOX Quality Control/Monitoring Lead Analyst - VP

Job ID 20225652 Primary Location Tampa, Florida; Job Category Finance
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Finance - Control Initiatives supports the office of the Controller & Citigroup Chief Accounting Officer by providing direction and oversight to all business segments in the execution of their internal control related activities in accordance with company requirements. This includes Manager’s Control Assessment (MCA), SOX, COSO internal control framework guidance, external auditor independence through the engagement review and approval process, support of Operational Risk reporting requirements of the Global Functions, and the CCAR attestation framework.

Our Mission:

  • Serve as trusted control advisors who promote and assist in embedding strong internal controls over financial reporting, as well as U.S. regulatory reporting across Citi and over corporate level control programs such as SOX, COSO & MCA.
  • Drive governance and ensure adherence to corporate wide Citi policies and standards for Finance.
  • Deliver timely, accurate & insightful control analytics to strengthen the control environment.

The purpose of the SOX Quality Control/Monitoring Lead Analyst role is to help review, assess and potentially test the Key Controls identified in the end-to-end documents as scoped in by the SOX Program Team. This role supports all major components of the SOX program, including document reviews and working closely with Coordinators across the globe to streamline processes. 


    • Help support the newly created SOX Program Quality Control/Monitoring Team and, where needed, perform testing of identified SOX Key Controls requiring reviews during cycles not tested by Internal Audit or randomly
    • Supporting other SOX Team members who are primary contacts for multiple functional and regional SOX Coordinator Teams, including reviewing Tier 1, Tier 2, Entity Level and Footnote documents
    • Assist in the creation, testing, and management of technology solutions, using approved platforms and applications to support the information and communication needs of the SOX Program Team
    • Support internal information and reporting requests from SOX program team members
    • Lead or assist in the external audit efficiency efforts by working with Citi Teams across the globe and the other SOX Team members
    • Assist the SOX Program Lead, where needed, on issues that come up during the annual integrated audit, including managing escalations and intervening to assist the external auditors in obtaining information
    • Help educate and train colleagues worldwide on various Quality Control processes and requirements around SOX Key Controls, included appropriate identification, design of controls, appropriate monitoring and/or testing.


    • Bachelors degree
    • Preferred for candidate to have CPA license or working towards licensure
    • 5+ years relevant experience, including within a public accounting firm (auditing of financial services a plus)
    • Experience with SOX Testing, SOX 404, SOX 302, FIDICIA, or Internal Audit preferred
    • Working knowledge of internal control concepts including the COSO 2013 internal control framework preferred
    • Finance or related experience with a focus on process design and improvement. Preference for experience supporting regulatory compliance, operational risk management, or financial reporting.
    • Understanding of common financial products and processes in consumer banking, institutional banking, corporate treasury, and various other corporate finance activities
    • Excellent verbal and written communication skills
    • Intermediate to advanced knowledge of MS Excel and PowerPoint, especially the integration with other MS products
    • Proven ability to work effectively with virtual teams, to set realistic deadlines, and to effectively manage one’s own time and priorities to meet those deadlines including regular communication and updates to the SOX Program Lead
    • Process oriented, data driven, and exceptionally well organized and detailed
    • Ability to work individually or with different Teams on various projects


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        Process Control


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