Senior Auditor, Financial Risk

Securitize, the leader in tokenizing real-world assets with $3.7B+ AUM (as of May 5, 2025), isbringing the world on-chain through tokenized funds in partnership with top-tier asset managers,such as Apollo, BlackRock, Hamilton Lane, KKR, and others. Securitize, through itssubsidiaries, is a SEC-registered broker dealer, digital transfer agent, fund administrator, andoperator of a SEC-regulated Alternative Trading System (ATS).  Securitize is a global, fully remote team consisting of top talent from the blockchain andfinancial services industries. Having raised $170M overall to date, we are backed by some of thelargest names in finance and technology, including BlackRock, Morgan Stanley, BlockchainCapital, MUFG, Sumitomo Mitsui Trust Bank, Sony Finance, Banco Santander, Coinbase,among others. Securitize has also been recognized as a2025 Forbes Top 50 Fintech company. Before applying, we encourage you to visit us to learn more: We are seeking our first Senior Auditor, Financial Risk & SOX to join our newly created Internal Audit team at Securitize. This role is fully remote and will be reporting to the Director, Internal Audit & Controls. This hands-on role requires both technical and functional expertise, focusing on maturing an effective Internal control over financial reporting (ICFR) environment. You’ll lead efforts in internal controls, system implementations, and audits, including SOX compliance, SOC 1 audits, and other financial risk-based audits. As the first Senior Auditor - Financial Risk & SOX you will focus on Year 1 Sarbanes-Oxley (SOX) 404 (a) control testing, operational audits of business processes, as well as Enterprise Risk Management (ERM) and Fraud Risk Assessment (FRA) activities. This is an individual contributor role initially responsible for conducting fieldwork (executing, documenting and interpreting testing), and preparing draft audit findings for reporting to senior management. This role is ideal for an experienced professional with strong knowledge of financial risks in SaaS and/or FinTech, looking for a broad range of responsibilities in a dynamic environment with career development opportunities as the company and team grows. Impact You’ll Make Assist with annual materiality and SOX risk assessment to determine scoping of material financial accounts, key business segments, and significant entities Assist with implementation of Sarbanes-Oxley policies, procedures, and work standards in line with SEC requirements and PCAOB guidance. Build strong relationships with key stakeholders, including Product & Engineering, IT, InfoSec, Legal, and Accounting, to gain a thorough understanding of their operations and identify risk mitigations and areas for improvement. Collaborate with Accounting and Finance, People Team, Legal, and IT control owners, and other stakeholders to ensure the quality, consistency, and scalability of controls that address operational, technical, and financial risks. Update and document initial process narratives and flowcharts Update risk and control matrix (RACM) for year 1 SOX compliance Partner with IT SOX lead on IT general controls (ITGCs) for in-scope financial systems, IT application controls (ITACs), key report and IUC identification and inventory Partner with IT on back-office system implementations and optimization initiatives to scale business operations, establish segregation of duties (SoD), and increase reliance on IT application controls (ITACs) Assist with training on SOX requirements with stakeholders educating on remediation of control gaps and process improvements Assist with planning, coordination, and execution of all business process and entity level controls (ELCs) test phases of SOX compliance workstreams with stakeholders, external auditor and third-party internal audit co-source Execute on independent business process and ELC test of design (ToD) and test of operating effectiveness (ToE) results for Year 1 SOX compliance Communicate SOX findings and recommendations to senior leadership and control owners, while supporting external auditors in their assessments and addressing any identified deficiencies. Advise cross-functional global process owners and functional leaders on end-to-end process redesigns: record-to-report, quote-to-cash, procure-to-pay, hire-to-retire, and treasury & cash management operations Assist with project management of SOX 404 compliance program, SOC 1 Type 2 audits, annual IA audit plan and Financial Risk Assessment Stay informed about industry best practices for financial risk management, adapting these strategies to the company’s needs. Monitor emerging regulations and industry standards affecting controls, adjusting audit plans and strategies accordingly. Contribute to the continuous improvement of SOX and risk processes, including training and guiding new team members, consultants, and stakeholders on compliance and risk management best practices. Support internal and external audits by providing insights into SOX risks and assisting with remediation efforts. Conduct operational internal audit projects in accordance with the Institute of Internal Auditors (IIA) professional practice standards Contribute to ongoing development of the ERM, Fraud Risk Management programs Maintain knowledge of generally accepted auditing and accounting standards Participate in special projects as assigned by Director, Internal Audit & Controls Who You Are Bachelor's Degree in accounting, finance or discipline. 5+ years of experience in SOX compliance, financial risk management, or internal audit roles, with a focus on operational and financial risks and cloud-based environments. In-depth knowledge focused on SOX ICFR, COSO Framework, and baseline understanding of IT risks and controls. Experience in public companies and understanding of SEC and PCAOB requirements Entrepreneurial attitude and experience with, or the ability to adapt to, a rapidly growing start-up with associated complexities and ambiguities. Ability to document end-to-end processes in a clear and concise narrative and flowchart format Experience efficiently leading internal walkthroughs and effectively coordinating walkthrough between external auditors and stakeholders Experience developing initial audit test procedures based on objectives Experience leading SOX projects, managing teams, and coordinating with external auditors. Critical thinking and problem-solving skills with the ability to assess financial processes and solve complex problems. Excellent interpersonal and organizational skills, with the ability to manage multiple projects and meet deadlines in a fast-paced environment. Strong understanding of end-to-end business processes: Financial Statement Close & Reporting, Quote to Cash, HR/Payroll, Treasury, Debt & Cash Management, Equity Administration, Procure to Pay, and Entity Level Controls. Experience working with IPE (Information Provided by Entity) and testing the completeness and accuracy of key reports and spreadsheets Ability to provide meaningful recommendations to improve policies, procedures, systems, processes; as well as to address root causes of control deficiencies Strong rapport and relationship building skills to collaborate and positively influence partnerships across the company Proven track record working remotely with a dispersed workforce Added Bonus Experience operating in high growth SaaS and/or technology companies Experience in FinTech, banking and/or financial services experience primarily focused on SOX or IT enterprise-wide risk management and ICFR controls consulting Experience with a global multi-entity company navigating operational, and regulatory audit requirements for legal entities or operations in different regions or countries. Familiarity with tools like Google, Jira, Asana, NetSuite, BambooHR, Salesforce, ADP, Pulley, Teampay, Bill.com . Familiarity with Drata GRC Platform or other SOX and Audit solutions Knowledge of DORA and GDPR frameworks CPA, CIA, CISA, CISSP, CRISC, CISM, or CFE certification. Big 4 (Deloitte, EY, KPMG, PwC) Advisory or Assurance background, but not required. Experience incorporating data analysis / data analytics (including the use of SQL-based tools) & AI tools and techniques in audit planning, testing, workpaper support and final reports Experience working with/in an out-sourced or co-sourced internal audit function. Why Join Us Become a part of our rapidly expanding organization and enjoy a supportive and rewarding work environment: Unlimited Paid Time Off (PTO)– Promoting a healthy work-life balance. Equity Grant Opportunities– Share in the success and future growth of the company. Remote Work Flexibility– Work from anywhere while staying connected with a dynamic and collaborative team. Additional Benefits for US employees Comprehensive Insurance Coverage – 100% employer-paid Medical, Dental, and Vision benefits for you and your family. 401(k) Retirement Plan– Secure your financial future with employer-sponsored savings. #J-18808-Ljbffr