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Senior Manager SOX Compliance

Company: Bank of Hawaii, Inc.
Location: Honolulu
Posted on: September 23, 2022

Job Description:

Under the direct supervision of the Director of Financial Reporting, this position is responsible for all aspects of Sarbanes-Oxley Act of 2002 (SOX) compliance, including COSO, SOX 404 and SOX 302. Partners closely with business units to ensure compliance with applicable laws, regulations, regulatory requirements and Bank policies and procedures, including but not limited to those related to Anti-Money Laundering laws and regulations, Bank Secrecy Act and USA PATRIOT Act. In addition, this position is responsible for demonstrating the Excellence in Sales/Service (ESS) philosophy by participating in and practicing ESS discipline and behaviors.

  • Responsible for assessing the scope of SOX controls, including determining, documenting and updating both quantitative and qualitative thresholds. Prepares the annual financial statement risk assessment and fraud risk assessment for management and internal auditors. Facilitates meetings with internal audit, external auditors, business units and Controllers Department. Works closely with internal and external auditors to align control testing strategies.
  • Works collaboratively with business unit managers to identify, design and document key controls, evaluating the effectiveness of the control processes. Reviews reports issued by internal audit to assess the impact to SOX, assisting business unit managers in appropriate application to the control environment. Educates business units on the practical, functional and documentation requirements of SOX. Serves as the Bank's subject-matter expert over financial reporting risks and its SOX compliance program.
  • Responsible for overseeing the programs, processes and managing any employees, contractors or co-sourced vendor staff assigned to the SOX function including staffing and scheduling, compensation, performance management, training and development. Goal is to attract, retain, and motivate the team to achieve management business objectives and maintain a favorable employee relations climate. Responsible for the timely and effective management of forms and documents relevant to immediate staff.
  • Prepares and presents both the quarterly SOX 302 certification summary reports and the annual SOX assessment for senior management including status, deficiencies identified, remediation plans and overall conclusion.
  • Supports the Bank's initiatives with system and process integration and updates. Serves as a resource in project teams to ensure SOX IT applications are properly identified, tested and documented. Provides guidance and oversight in the implementation, upgrade, ongoing maintenance and best practices of business unit technology solutions with regards to SOX tracking and reporting. Maximizes the use of technology wherever possible to complete tasks and assignments.
  • Refines the processes and documentation related to the Bank's Information Produced by Entity (IPE) policy and standards and the COSO integrated framework for the Bank and serves as a subject-matter expert on the matters.
  • Manages vendors and performs annual vendor management review as required by bank policies. Assists with developing and updating operating budgets and plans.
  • All other responsibilities as assigned, including but not limited to staying abreast of new COSO guidance, and accounting pronouncements. This position requires use of a personal computer and other standard office equipment (fax, copier, calculator and telephone).


  • Education: Bachelor's degree in accounting, finance or related area from accredited institution. CPA required.
  • Experience: Minimum 8 years of work experience in positions of increasing responsibility in audit or accounting with a public company or large public accounting firm. Banking institution exposure preferred.
  • Technical Skills: Demonstrated proficient working knowledge of internal controls (including SOX 404, SOX 302 and COSO), accounting principles and practices. Demonstrated proficiency and expertise with personal computers in a networked environment and Microsoft applications (Outlook, Word, Excel, MS Access, PowerPoint and SharePoint) or similar software. Knowledge of or ability to use Bank software and systems.
  • Other Job Qualifications: Excellent oral and written communication; presentation skills to high-level audiences; project management; problem solving skills. Demonstrated capability to proactively identify internal control issues and exposures. Must also be able to develop effective solutions and consider efficiency, internal controls, and impact or risk to financial results. Requires the ability to exercise sound judgement and work collaboratively with other business unit leaders. Must be analytical, detail oriented, organized, and independent. Able to meet deadlines and handle multiple priorities. Able to work flexible hours including holidays, weekends and evenings as needed. Must be able to provide own transportation or to operate a vehicle with a valid driver's license, and able to commute as required. Able to travel by air.

    As a Bank of Hawaii employee, you ensure (or assist with ensuring) compliance with applicable laws, regulations, regulatory requirements and Bank policies and procedures, including but not limited to those related to Fair Banking, Anti-Money Laundering laws and regulations, Bank Secrecy Act and USA PATRIOT Act. -
    Delivering exceptional customer experiences is at the heart of what we do at Bank of Hawaii. -We listen, understand and deliver what our customers need to help them build a better tomorrow.
    We are an EEO/AA employer, including disability and veterans. - For Bank of Hawaii's full EEO statement, please visit .

Keywords: Bank of Hawaii, Inc., Honolulu , Senior Manager SOX Compliance, Executive , Honolulu, Hawaii

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