Shellpoint Mortgage Servicing

Greenville, SC

Senior SOX Auditor

Posted over 1 month ago

Job Description

Who we are

Shellpoint Mortgage Servicing (SMS) is one of Americas top-five non-bank mortgage-servicing companies. What is mortgage servicing? Our clients are businesses that own mortgage loans (such as banks and real estate investment firms). On their behalf, we manage (or "service") their loan portfolios, which means that we collect homeowners mortgage payments, pay their tax and insurance bills, and help homeowners in default to get current.


The Sr. SOX Auditor is a Senior Level Internal Auditor, responsible for completion of the annual Sarbanes-Oxley Act, (SOX) planning, execution and testing, in addition to reporting results to management. This responsibility includes assisting with the identification of risk, assisting in the development of the internal SOX audit scope, performing internal audit SOX procedures, and preparing internal audit SOX reports reflecting the results of the work performed. Work performed will include coverage of functional and operating units in both the Origination and Servicing centers for the Company.

  • Perform functional audits, procedural reviews, and compliance testing as directed by the Head of Internal Audit, Director of Internal Audit, and SOX Manager
  • Conduct compliance, financial, regulatory, and operational appropriate interviews to obtain an understanding of all auditable entities
  • Analyze and draw conclusions toward compliance, effectiveness, and efficiency of the SOX specific control environment, by preparing workpapers and audit reports that detail findings and recommendations
  • Document the results of audit work and applicable work papers in accordance with the audit departmental procedures
  • Evaluate and monitor established internal controls, policies, and procedures (both written and practiced) for adequate asset safeguards, control of risks, and compliance
  • Identify and complete non-standard procedures required to satisfy audit objectives based on field work or issues identified in the course of reviews
  • Examine general ledger entries for appropriate segregation and approval processes
  • Prepare written draft audit reports/memorandums to management detailing audits for managements review
  • Perform and document follow-up of auditee responses on prior audit and exam reports
  • Facilitate the documentation of all SOX remediation efforts as well as perform testing of remediation activities during and/or upon completion
  • Expand knowledge of all subsidiaries departments through training programs, seminars, employee interaction, and publications. Continuously develop & expand internal audit skills as well as strengthen best practices
  • Assist external auditors and regulators with information compilation, retrieval, and reconciliations as directed by Internal Audit Management
  • Follow established policies and procedures throughout the company. Safeguard sensitive data and resources. Maintain strict confidentiality.

  • A BS/BA degree is required.
  • Minimum 2-5 years internal or external audit experience in the financial services industry with a concentration in mortgage industry preferred.
  • Working knowledge of SOX auditing attained through 2-5 years of progressive work experience with a focus on financial risk and SOX regulatory requirements.
  • Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) preferred.
  • Understanding of internal control concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions
  • High level of accuracy and attention to details
  • Strong analytical, organizational, critical thinking, and problem solving skills
  • Ability to work independently, with limited required direction and guidance-May include supervision of auditors on projects to follow sound internal control practices and to manage risks appropriately
  • Strong verbal and written communication skills, including the ability to interact and relate to personnel at all levels within the organization and to effectively support and defend unbiased findings to management
  • Capable of leading or facilitating meetings with Director level (and higher) attendees
  • Advanced knowledge of Microsoft Office (PowerPoint, Excel, Word, etc.)
  • Demonstrate proficiency of the technical aspects of accounting and financial reporting, meeting strict audit deadlines, with minimal errors
  • Experience in performing multiple audit projects and working with varying levels of experience among team members
  • Ability to work in and assist in the development of a collaborative team environment
  • Some travel required
Educational Requirements:
  • A BS/BA degree is required.
  • Minimum 2-5 years internal or external audit experience in the financial services industry, with progressive work experience in SOX related assignments required, with a concentration in the mortgage industry preferred.
  • Certified Public Accountant (CPA), or Certified Internal Auditor (CIA) required

* Three weeks PTO (paid time off) for vacation and sick days.
* Paid holidays.
* Medical, dental, vision, life, and pet insurance.
* Short- and long-term disability insurance.
* Adoption- and tuition-assistance programs.
* 401k matching program.
* Performance-based annual bonuses.
* Advancement opportunities

Equal Employment Opportunity
We're proud to be an equal opportunity employer- and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. Different makes us better.

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CA Notice at Collection

Shellpoint Mortgage Servicing has grown to become one of Americas largest third-party mortgage servicing company. What is mortgage servicing? Businesses that own mortgage loans (such as banks and real estate investment firms) contract with us to manage (or "service") their loan portfolios, including collecting homeowners mortgage payments, paying homeowners tax and insurance bills, and helping homeowners in default to get current once again.

Our mission at Shellpoint Mortgage Servicing is to deliver best-in-class portfolio performance for our clients by providing all homeowners with exceptional customer service. We recognize that our people are our greatest asset, which is why we offer the training, modern technology, and tools for you to be successful. There could not be a more exciting time than right now to join our growing team, where you can be part of the success.

Posted 19 Days Ago

Full time


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