Senior SOX Compliance Analyst

Netapp Sunnyvale , CA 94085

Posted 2 months ago

Job Summary

As a NetApp Senior SOX (Sarbanes Oxley) Analyst, you are part of a team of professionals who plans, performs and implements process improvement initiatives for the Finance SOX Compliance Program. Additionally, you will provide consultation on the Sarbanes Oxley Compliance requirements and provide recommendations on key business process and internal controls related to various business processes. Strong process and program management and communication skills, along with strong compliance technical competencies are key to the success in this role.

Job Requirements

Essential Functions

  • Plan, perform and implement process improvement initiatives related to SOX compliance program for the Finance organization.

  • Organize, lead and facilitate cross-functional finance/business process owner teams through remediation efforts.

  • Participate in identifying critical internal controls risk, determine key controls and updating process documentation through walkthroughs and interviews

  • Develop metrics that provide data for process measurement, identifying indicators for future improvement opportunities.

  • Evaluate company initiatives to determine impact to the compliance program scope and recommend inclusion/exclusion based on compliance risk

  • Collect data to identify root cause of problems

  • Measure performance against process requirements/objectives

  • Evaluate internal control measures for operating effectiveness and design objectives against standard frameworks

  • Review completed work papers for consistency and re-performance standards.

  • Facilitate audit cycles with internal and external auditors acting as the primary liaison between the auditors and NTAP management.

  • Provide recommendations on the use of Auditing techniques/procedures to effectively measure control performance

  • Provide recommendations on business process improvements and efficiencies where appropriate to the cross functional Finance teams.

  • Deliver presentations and training courses including measurement, analysis, improvement and best practices.

  • Survey and analyze best practices for audit practices and processes and emerging compliance issues.

  • Develop and create compliance communications plans to affect Finance teams


  • Strong oral and written communication skills; including presentation skills.

  • Ability to work collaboratively within a team environment and across functional teams to meet aggressive goals and pre-defined measurement criteria.

  • Ability to evaluate, define and prioritize tasks/projects. Ability to manage concurrent task and re-prioritize as required.

  • Strong understanding of the PCAOB requirements and Audit Methodology.

  • Thorough understanding of SOX rules and standards (Section 302, 404 and AS5)

  • Experience with working with business control objectives and activities (COSO/COBIT frameworks)

  • Experience in performing process walkthroughs and documenting process narratives and/or process flows

  • Demonstrated experience in working with internal and external auditors

  • Demonstrated experience in developing audit plans, sampling techniques and control effectiveness evaluation.

  • Creative approach to problem solving.


  • A minimum of 5 years of audit experience is required; 6-8 years of compliance program/audit role in technology industry experience is preferred.
  • BA or BS in Accounting, Finance or Related Field.
  • CPA (or equivalent) with Big 4 external audit experience is preferred

Nearest Major Market: San Jose

Nearest Secondary Market: Palo Alto

Job Segment: Compliance, Program Manager, Business Process, CPA, Accounting, Legal, Management, Finance

icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Senior Mobility And Compliance Specialist


Posted 3 days ago

VIEW JOBS 4/17/2019 12:00:00 AM 2019-07-16T00:00 Job Description Summary The Sr. Mobility & Compliance Specialist supports the areas of immigration and global mobility for employees in countries where Cepheid conducts business, aiming to provide a safe and seamless experience for Cepheid employees. This individual also supports legal and legislative compliance in general areas of employment law, like Affirmative Action, Sarbanes-Oxley, and Equal Employment Opportunity. This position reports to the HR Operations Leader and will have interaction with various internal business leaders and external vendor partners. Responsibilities * Initiate and develop immigration cases through contact with HR Business Partners, managers, recruiters and employees, support law firm partner in preparation of various nonimmigrant and immigrant petitions, understand general document requirements and filing procedures at Service Centers and US consulates. * Counsel and consult with managers, recruiters, HR operations team and other business teams to set expectations on best practices, process, and timelines; and provide excellent customer service to employees in responding to their questions/concerns. * Coordinate with internal resources (Payroll, HR Business Partners, HRIS, Tax, and Finance) to address questions and resolve issues related to immigration, mobility and/or compliance procedures to support the business. * Utilize a strong working knowledge of immigration and mobility policies and procedures to recommend improvements to work flow and processes * Responsible for HR policies, including review of existing policies and establishment of new policies * HR point of contact for employment law and compliance matters, such as time off/sick leave laws, wage & hour, AAP, EEO, SOX, etc. * Ensure appropriate retention of immigration compliance records including quality control, data input, and maintaining Public Access Files, as well as other compliance recordkeeping. * Facilitate organizational intra-company transfers, domestic and international relocations, international assignments, long-term business travel, and travel visas. * Assist with special projects and other administrative duties as needed. Qualifications * Bachelor's Degree in Human Resources, Business, or related field; or equivalent. * Minimum of 5 years of directly-related immigration, mobility, and/or HR experience including direct program involvement with the processing of US work visas, green card cases, etc. * Strong knowledge and understanding of all types of US work visa categories (like H-1B, B-1, J, F-1, L-1s, and TN) and understanding of employment-based green card processes. * Solid knowledge and understanding of general HR/employment compliance arena: including AAP, EEO, DOL, SOX, time off/sick leave laws, harassment prevention training, etc. * Passion for process improvement and an understanding of the sensitivity of the process to candidates and employees. * Excellent organization and time management skills. * Ability to demonstrate complete discretion when handling sensitive and confidential information. * A team player who can adapt to a fast-paced and ever-changing environment, with the ability to work collaboratively with other departments and managers at all levels within the company. * Ability to be resourceful and take initiative to seek support/assistance from internal and external resources when problem solving. * Strong oral and written communication skills; ability to communicate effectively with diverse clients and partners at various levels in the company. * Strong customer service mentality and ability to build positive professional relationships. Radiometer Sunnyvale CA

Senior SOX Compliance Analyst