The SOX Internal Controls Manager will be responsible for BBVA Compass Bancshares, Inc.’s SOX risks and controls. The responsibilities will include managing the:
- Knowledge and understanding of all SOX risks and controls (BBVA Compass and non-BBVA Compass entities) by the various responsible groups within the bank and externally.
- Monitoring of new risks input to the risk and control system on a periodic basis for identification of potential new SOX risks.
- Relationships between Control Specialists (local and global) and Control Managers as it relates to SOX.
- Scheduling and monitoring all SOX testing and results.
- Review of Internal Audit reports for potential SOX issues and reporting of issues to the external auditors.
- Quarterly SOX control failures aggregation for reporting to Line of Business management, the CFO, CEO, and external auditors.
- Quarterly SOX certification process.
- SOX-related requests from BBVA Group.
- Track SOX Critical Applications population and changes therein.
- Drafting and distributing annual SOX Memo – procedural guidelines for all SOX compliance efforts.
Other duties include:
- Acting as a liaison between business units and Internal Audit for quarterly and annual Internal Audit SOX testing.
- Meeting all external auditor SOX control-related requests.
- Review quarterly SEC filings and provide comments to SEC Reporting.