Associate Director, IT SOX Compliance

Role Summary

The Associate Director, IT SOX Compliance will be responsible for ensuring the integrity, security, and compliance of Axsome's IT systems and data supporting financial operations. You will proactively assess, implement, and improve the IT SOX compliance framework and monitor IT risks related to financial reporting. This role will partner with Finance, Information Technology, and both internal and external audit teams, and reports to the Senior Director, Finance. The role is based at Axsome’s HQ in New York City with on-site requirement of at least three days per week.

Responsibilities

• Own and manage the design, implementation, and testing of IT General Controls in support of Axsome’s SOX compliance framework
• Develop, implement, improve and maintain Axsome's IT SOX compliance framework across existing and new systems impacting the Axsome organization
• Document risks of control design gaps or operational audit findings and areas for process improvements
• Prepare narratives, flowcharts, and risk assessment matrices to document control processes, identify risks and mitigate controls
• Manage compliance over Axsome’s System and Organization Controls audits in support of Axsome’s annual audit plan
• Collaborate with Axsome’s internal and external audit partners, including leading IT walkthroughs and providing necessary documentation, evidence, and support for IT SOX audits and other compliance assessments
• Establish and manage IT SOX compliance policies, procedures, and standards to ensure consistent application of controls and best practices
• Prepare IT SOX compliance observations, and communicate audit findings to management, along with recommendations for improvement

Qualifications

• 7+ years of relevant experience in Process and Information Technology auditing, focused on internal control reviews around IT SOX and IT General Controls
• Proficiency in assessing IT general controls, IT application controls, key reports, and SOC reports

Skills

• Deep understanding of IT control frameworks as they pertain to IT SOX compliance, with a strong emphasis on the COSO framework
• Proficiency with Governance, Risk and Compliance tools and technologies used to manage risk and compliance programs, specifically in the context of IT SOX
• Excellent oral, written and presentation skills, with the ability to articulate compliance concepts to both technical and non-technical audiences
• Proven ability to lead cross-functional initiatives and influence stakeholders at all levels of the organization
• Possess a problem-solving mindset with demonstrated “lean-forward” approach and the ability to think critically
• Strong planning and organization skills, attention to detail, execution, and follow-through

Education

• Bachelor's or Master's degree in Information Technology, Computer Science, Accounting, Finance, or a related field; relevant certifications applicable to IT SOX compliance are a plus

Additional Requirements

• On-site requirement: Role is based at Axsome’s HQ in New York City with at least three on-site days per week; remote-work not available