Compliance Specialist

General Summary

The KSOX Compliance Specialist is responsible for ensuring the organization’s compliance with the Korean Sarbanes-Oxley Act (KSOX). This role involves evaluating internal controls over financial reporting (ICFR), coordinating with auditors, and supporting IT and business teams to maintain a strong compliance posture. The specialist will play a key role in identifying control gaps, recommending improvements, and ensuring timely remediation of deficiencies.

Essential Duties and Responsibilities

• IT General Controls (GITC) Assessment 

- Monitor and assess internal controls to ensure compliance with KSOX requirements.
- Coordinate and support internal and external audits, including walkthroughs and control testing.
- Evaluate IT General Controls (GITC) and application controls across financial systems.
- Document control processes, test results, and remediation plans in accordance with audit standards.
- Collaborate with IT, Finance, and Compliance teams to address control deficiencies and implement improvements.
- Track and report on the status of compliance activities and remediation efforts.
- Stay informed of regulatory changes and industry best practices related to KSOX and internal controls.
- Provide training and guidance to stakeholders on KSOX compliance requirements

• Audit Planning & Execution 

- Develop audit plans and testing strategies for KSOX-related IT controls.
- Perform walkthroughs and control testing across ERP systems, databases, and infrastructure.
- Coordinate with internal and external auditors to support annual KSOX audits.
- Maintain audit documentation and evidence in accordance with regulatory standards.
- Provide support in handling external audit activities
- Conduct special investigations as required by management
- Perform various research and analytical tasks, as well as other projects, as requested

• Risk Identification & Reporting 

- Analyze IT environments to identify risks that could impact financial reporting.
- Provide recommendations to mitigate risks and strengthen control environments.
- Prepare audit reports and dashboards for senior management and compliance teams.
- Track and follow up on remediation plans and timelines.

• Compliance Monitoring & Continuous Improvement 

- Monitor ongoing compliance with KSOX and internal IT policies.
- Support automation and rationalization of controls to improve audit efficiency.
- Stay current with regulatory changes and industry best practices.
- Train stakeholders on IT control requirements and audit readiness.
- Provide support in handling external audit activities
- Conduct special investigations as required by management
- Perform various research and analytical tasks, as well as other projects, as requested

The above typical duties are characteristic of this job and demonstrate a level of difficulty and are not intended to list or limit the duties that may be required or assigned to a team member in this classification.

Qualifications & Job Requirements

• Bachelor’s degree in Information Systems, Accounting, Finance, or a related field. 
• Professional certifications preferred (e.g., CISA, CIA, CPA, or equivalent). 
• Familiarity with KSOX, SOX, or other regulatory frameworks.
• Strong understanding of internal controls, risk management, and audit methodologies.
• Excellent analytical, organizational, and problem-solving skills.
• Effective communication and interpersonal skills to work across departments.
• Proficiency in Microsoft Office and audit management tools.
• Ability to manage multiple priorities and meet deadlines.

Reasonable accommodation may be made to those who are able to perform the essential duties of the job.

Specialized Skills and Knowledge Required

• 3–5 years of experience in IT auditing, internal controls, or compliance. 
• Hands-on experience with ERP systems (e.g., SAP, Oracle) and financial reporting environments. 
• Proven track record in testing and evaluating IT General Controls (GITC).