Lead end-to-end SOX testing, ensuring effective evaluation of manual and key business controls
Own Risk and Control Matrices (RACMs), narratives, and flowcharts, ensuring accuracy and completeness
Ensure controls coverage across P2P, O2C, R2R, GRPA and other relevant finance processes
Conduct walkthroughs and validate financial statement assertions
Lead deficiency assessment, remediation, and re-testing
Balance own individual contributor work with team oversight and review responsibilities
Ensure on-time, high-quality delivery of testing and documentation
Act as primary liaison with stakeholders and auditors
Lead a team of 3 members responsible for SOX controls testing
Support SOX scoping, process improvements, and transformation readiness
Collaborate with ITGC teams on system-dependent controls

SOX Testing & Compliance Execution

Lead annual SOX testing lifecycle ensuring coverage of key financial reporting risks
Evaluate design and operating effectiveness of manual and automated business process controls
Ensure controls effectively prevent/detect material misstatements

Controls Framework Ownership

Own and maintain RACMs, narratives, and flowcharts across key processes
Ensure alignment to SOX, ICFR, and financial statement assertions

Business Process Controls Coverage

Ensure comprehensive control coverage across: P2P (Procure-to-Pay) O2C (Order-to-Cash) R2R (Record-to-Report) GRPA (Reporting, Forecasting and Financial Analysis – GRPA)
Operate within a shared services/multinational environment, ensuring consistency across regions

Walkthroughs & Risk Identification

Lead walkthroughs to identify key controls and risks, ensuring assertion coverage (completeness, accuracy, existence, etc.)

Deficiency Management

Assess and classify deficiencies (control deficiency, significant deficiency, material weakness)
Drive remediation planning, tracking, and re-testing

Stakeholder & Audit Management

Act as primary liaison between business, management, and auditors
Ensure smooth audit coordination and alignment of expectations

Continuous Improvement & Projects

Support SOX scoping and risk assessment
Drive control optimization and efficiency improvements
Ensure SOX readiness for transformation initiatives (e.g., system implementations)
Partner with ITGC teams for system-related dependencies

Accountabilities

Leads the planning, coordinating, executing, reporting and close-out of the annual SOX management testing for STM/ELS (Scientific, Technical & Medical) division's financial controls. This is executed in close collaboration with control owners and operators
Acts as the primary liaison with the external auditors (EY) and RELX Internal Audit and Assurance (IAA)
The individual is also expected to lead in contributing to the wider Controls agenda including ownership of control design, scoping, deficiency evaluation & re-testing activities, to continuous improvement of the internal controls over financial reporting framework
Oversee the internal controls framework at Elsevier, including managing risk and control matrices and ensuring high-quality of documentation such as narrative descriptions and flowcharts for each significant finance process
Collaborate with the Head of Financial Controls to ensure that key processes are following Sarbanes-Oxley (SOX) requirements, helping to maintain and strengthen the company's internal control structure
Conduct comprehensive walkthroughs for in-scope financial processes to identify key controls for SOX purposes. Ensure that all financial statement assertions are covered, providing a complete overview of process controls
Serve as a primary point of contact between business process and control owners, management at various levels, and both internal and external auditors to facilitate communication and compliance efforts
Lead the SOX compliance testing process, ensuring that testing procedures are effective in evaluating the controls.
Verify that controls are performed consistently throughout the testing period and by the appropriate process owners.
Evaluate whether controls are successful in preventing or detecting material misstatements
Lead the annual scoping exercise for SOX controls, ensuring that the right controls are identified and documented for the upcoming year's compliance cycle
Collaborate with control owners to address any control deficiencies identified during testing.
Provide guidance and support in developing remediation plans and ensure timely resolution of issues
Evaluating deficiencies, preparing remediation plans, and coordinating the re-testing process to ensure that controls are operating effectively after remediation
Support and organize training and awareness programs for controls. Ensure that relevant stakeholders are educated on SOX compliance and internal controls, promoting a culture of compliance throughout the organization
Work closely with the SOX IT General Controls (ITGC) team to identify and understand in-scope SOX IT systems and applications, ensuring that all relevant IT controls are adequately addressed in compliance efforts

Qualifications

Bachelor's degree in finance, accounting or a related field or professional accounting and/or auditing qualification
Over 5 years of relevant experience in financial reporting processes, SOX Compliance, Internal controls over Financial Reporting, internal controls, audit, compliance, or a similar field
2-3 years of leadership experience in people (small team 2–4) and stakeholder management
Good working knowledge of systems e.g., Excel (advanced level), PowerPoint, Hyperion, Oracle, and appreciation of IT general controls
Excellent spoken and written English
Ability to work in multi-location/global team across several time zones
Advanced stakeholder management and engagement skills
High degree of honesty and integrity - given nature of the role, it is vital that the individual can speak up in situations where personal values are being tested and escalate rapidly when potential control issues have been uncovered
Ability to quickly learn and apply enterprise AI tools and technologies to support technical workflows and business objectives
Must be in current role for 1 year
Must not have received any Disciplinary Action within the past 12 months
Must not have any Attendance and Punctuality issues in the past 12 months

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SOX Controls Manager