First Republic Bank

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SOX Manager

SOX Manager

Job Locations 
US-CA-San Francisco

More information about this job


First Republic is an ultra-high-touch bank that provides extraordinary client service. We believe that one-on-one interactions build lasting relationships. We move quickly to serve our clients’ needs so that their financial transactions are handled with ease and efficiency. Client trust and security are paramount in our line of business. Ultimately, our goal is unsurpassed client satisfaction which will lead to personal referrals – our number one source of new business.


We recognize that our competitive advantage starts with our people and our culture. At First Republic, we work hard and move quickly as a very coordinated team. If you are looking for an opportunity to grow and contribute in a fun, fast-paced environment, First Republic is the place for you. We have exceptional people focused on providing extraordinary service.


The Sarbanes Oxley (SOX) Manager will be responsible for leading the SOX compliance program at the Bank.  The SOX Manager will have responsibility for all the aspects of the Bank’s SOX compliance program, including risk and scope assessment; reviewing and enhancing SOX documentation prepared by the process owners; planning and conducting the testing of the controls over financial reporting (ICOFR); assessing the testing results and deficiencies identified, and reporting to the Executive Management and SOX Steering Committee on the effectiveness of the control over financial reporting.


The SOX Manager will be working closely with the process owners on documentation of processes and controls, during the testing of ICOFR, and on the remediation of the deficiencies, if any.



  • Lead SOX program of the Bank.
  • Complete SOX risk assessments, materiality assessments and conclude on the scope, including significant accounts and processes.
  • Identify key controls and perform mapping to financial statement assertions.
  • Work with the process owners on updating/enhancing SOX documentation, including process narratives and risk and control matrices.
  • Lead the SOX team to conduct testing of design and effectiveness of ICOFR.
  • Assess the results of the SOX testing, including the assessment of identified control deficiencies, and work with the process owners on ensuring timely remediation.
  • Coordinate and lead SOX certification process with the business process owners.
  • Document and evaluate the results of SOX assessment and testing and conclude on deficiencies, if any. Communicate the results to SOX Steering Committee.
  • Prepare materials for and lead SOX Steering Committee meetings.
  • Continuously perform control rationalization review
  • Work closely with the external auditors in connection with their ICOFR audits.
  • Work with Internal Audit and the Bank’s regulators in connection with their audits/examinations of SOX process.
  • Support special projects.
  • Recruit, manage and develop a strong, performance-oriented SOX team, capable of actively and effectively engaging and growing with the business.
  • Responsibilities include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.


DISCLAIMER: Critical features of this job are described under the items above. They may be subject to change at any time due to reasonable accommodation or other reasons. This job description reflects management’s assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time.



Skills, Knowledge & Abilities:

  • BA/BS degree and accounting, finance or related field
  • 6-10 years of SOX compliance experience with either a Big four accounting firm, or public company
  • Five plus years of managerial experience
  • Progressive track record of success in managing SOX compliance programs and activities
  • Experience with auditing ICOFR
  • Knowledge of IIA auditing standards, COSO 2013, US GAAP and SEC financial reporting requirements, PCAOB (AS 5) and SOX requirements.
  • Banking or financial services experience is preferred.
  • Strong project management skills.
  • Excellent written and verbal communications.
  • CPA, CFE, CISA or CIA or equivalent professional certifications.


Mental/Physical Requirements:

  • Vision must be sufficient to read data reports, manuals and computer screens.
  • Hearing must be sufficient to understand a conversation at a normal volume, including telephone calls and in person.
  • Speech must be coherent to clearly convey or exchange information, including the giving and receiving of assignments and/or directions.
  • Position involves sitting most of the time, but may involve walking or standing for brief periods of time.
  • Must be able to travel in a limited capacity.


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