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: