Senior SOX Auditor

As a Senior SOX Auditor at LivePerson, your main responsibilities include supporting testing strategies for business process controls, conducting SOX testing, and performing compliance and operational audits. You'll work closely with the Internal Audit Manager and Head of Internal Audit to manage annual SOX scoping and audit planning while updating critical SOX documentation, like risk control matrices and flowcharts.

To be considered for the Senior SOX Auditor role at LivePerson, candidates should hold a degree in Accounting, Finance, or Business, and possess 2-4 years of relevant SOX and internal controls experience, ideally in a public accounting firm. Familiarity with Sarbanes Oxley internal control requirements and strong technical knowledge of COSO and US GAAP requirements are also essential.

The working environment for a Senior SOX Auditor at LivePerson is fast-paced and dynamic, ideal for individuals who thrive under pressure. The company embraces a culture of learning, where feedback is encouraged, and employees are motivated to seek effective solutions while collaborating with a diverse team of experts in their respective fields.

Essential skills for the Senior SOX Auditor role at LivePerson include strong critical thinking abilities, attention to detail, and excellent written and verbal communication skills. Moreover, the ability to work independently and adjust to changing priorities is vital for meeting both internal and external deadlines in this agile work environment.

Senior SOX Auditors at LivePerson can expect a range of benefits, including comprehensive health coverage (medical, dental, and vision), generous vacation and holiday time, and substantial tuition reimbursement features. The company fosters a supportive workplace environment, emphasizing professional development and inclusivity.

When answering this question, detail specific experiences where you've conducted SOX testing, focusing on the types of audits you've performed and the controls you've assessed. Highlight any methodologies you’ve applied, the tools you used, and the outcomes of those audits, emphasizing how they aligned with regulatory requirements.

A great way to respond to this question is by discussing specific resources, such as webinars, professional organizations, or publications that you follow. Emphasize your commitment to continuous learning and how you apply the latest knowledge to your work to ensure compliance with SOX requirements.

For this question, narrate a specific example where you detected a risk, highlighting your analysis and the impact of your findings. Be sure to explain how you communicated this to your team, the steps taken to mitigate the risk, and the positive outcome resulting from your action.

When answering, outline your strategy for effective time management, such as using software tools, creating to-do lists, or delegating tasks where applicable. Provide an example of a challenging deadline you faced and how you successfully managed your time and resources.

Describe your systematic documentation approach, including the frameworks you use (like COSO) and how you ensure clarity and comprehensiveness in your documentation. Mention how this aids in compliance audits and facilitates clearer communication with external auditors.

Discuss your strategies for fostering effective communication with external auditors, such as setting up regular check-ins, sharing documentation in advance, and addressing their feedback constructively. Emphasize the importance of building relationships to ensure smooth audits.

Provide examples of technological tools you use in auditing, such as data analytics software or audit management systems. Discuss how these technologies enhance efficiency, accuracy, and data integrity in your SOX compliance efforts.

Explain how you assess internal control effectiveness through testing and monitoring, possibly referring to metrics you might use, such as error rates or compliance levels. Highlight how you implement improvements based on your findings.

Share your understanding of COSO and other relevant frameworks, detailing how you've applied these frameworks in your past audits. Discuss any knowledge of updates to these standards that could impact SOX compliance.

Illustrate your conflict resolution strategies, such as active listening or finding common ground. Share a specific instance where you successfully navigated a disagreement, resulting in a beneficial outcome for the audit process.