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Manager, Financial Controls & SOX


Newark, NJ
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Job Details

Position Title: Manager, Financial Controls & SOX
Job Code: 438578
Job Location: New Jersey-Newark

The SOX & MAR Compliance Team is responsible for oversight and management of Prudential’s Sarbanes- Oxley (SOX) and Model Audit Rule (MAR) programs, ensuring financial reporting risk is managed in accordance with applicable SEC and insurance company regulations. The group manages the SOX & MAR programs’ overall materiality guidance and scoping and provides the framework and methodology for SOX & MAR compliance, independent monitoring & testing assurance over select SOX key controls, assessment/evaluation, monitoring and reporting of deficiencies, and activities supporting the quarterly and annual CEO & CFO SOX certification.

This position within the SOX & MAR team will play a key role in implementing the global strategy for the SOX & MAR programs at Prudential, driving implementation of changes to provide proactive assurance, institutionalize processes for ongoing management of changes to SOX & MAR critical processes and related controls, ensuring existence and maintenance of clear linkage to Prudential’s financial statements. The success of this role involves driving results through close collaboration with multiple stakeholders including the Operational Risk Management, business process owners, controllership functions, internal and external auditors, etc.

Day to day key responsibilities include, but are not limited to:

  • Developing, issuing and communicating guidance for SOX & MAR governance activities and initiatives
  • Participating in and documenting the bi-annual Scope & Coverage process
  • Participating in walkthroughs and identifying/validating key controls
  • Developing test procedures, executing and documenting testing, and reporting results within Archer
  • Assessing SOX & MAR control deficiencies, analyzing issues and performing root cause analysis
  • Staying abreast of latest business, organizational, technology and regulatory changes and partnering with other business functions to ensure SOX & MAR guidance is applied consistently
  • Participating in ad hoc projects and initiatives within the SOX Compliance Team designed to enhance the Company’s Internal Controls over Financial Reporting (ICFR) framework
  • Providing technical SOX, MAR and COSO internal control guidance to business process areas
  • Coordinating with internal and external auditors on the annual SOX testing plan and providing support to them to ensure timely and smooth completion of SOX projects

  • Bachelors Degree
  • Minimum 5 years of public accounting and/or relevant risk assessment/internal controls experience
  • CPA/MBA/CIA/CISA certification is desirable
  • Subject matter expertise in one of the following areas is desirable:
    • Asset Management
    • Actuarial
    • Information Technology
    • GAAP and Statutory Financial Reporting for insurance companies
  • Understanding of the 2013 COSO framework and the Sarbanes-Oxley (SOX) Act (Section 404), PCAOB standards, Generally Accepted Accounting Standards of the United States, Securities and Exchange Commission reporting requirements
  • Solid understanding of financial reporting risks and controls
  • Effective analytical, problem solving and project management skills with demonstrated proficiency in managing multiple projects simultaneously
  • Good written and oral communication skills with proven success in influencing business decisions
  • Proven ability to build strong relationships and collaborate across a cross-functional team and influence senior leaders
  • Team player, self-starter and motivator, capable of working independently with minimal supervision
  • Successful candidate will be results focused, with high energy, flexible and with good work prioritization skills
  • Proficient in the use of Excel, Word, Visio Flowcharting etc.
  • Knowledge of Archer a plus

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.
Job Function: Accounting/Finance
Schedule: Full-time
Apply on the Company Site
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