Controls and SOX Manager ID-4578

January 21, 2025

Reporting to: Chief Audit Executive
Summary: Responsible for managing all aspects of the Red River Bancshares, Inc. controls and SOX programs.
Qualifications:

Duties and Responsibilities:

Control and SOX Oversight
1. Oversee the development and implementation of the annual plan to support the Company's compliance with the Sarbanes-Oxley Act (effective January 1, 2024).
2. Assist EMC with all control and SOX related matters.
3. Coordinate control and SOX risk assessments
4. Assist with the design, implementation, and assessment of internal controls with respect to acquisitions and other growth projects, as applicable

RRB Control Process Advisor
1. Provide guidance to operational/financial control owners to help implement standardized internal controls, documentation, and testing practices to ensure the Company's compliance with SOX, including development of appropriate remediation activities.
2. Support all RRB departments to evaluate, and adjust processes and controls as needed.
3. Lead meetings with process owners in documentation of business processes, controls, process narrative, and data flow documentation, as needed
4. Assist process owners in the identification of risks and design of controls
5. Involved with all new or changings systems and processes in order to advise on controls.
6. Meet with process owners to understand business processes and changes to the control environment
7. Lead root cause analysis discussions with process owners to identify the source of deficiencies
8. Coordinate and lead remediation efforts for respective business units; develop action plans and monitor efforts for remediation

Control Matrix Management and Support
1. Manage and maintain the internal control and SOX documentation repository in the appropriate system. SOX matrixes in Workiva. Control matrixes in Word.
2. Coordinate control and SOX matrix merge process for 2024.
3. Assist RRB departments in reviewing and updating control and SOX matrixes.

Audit Support
1. Plan and coordinate SOX walkthroughs and annual testing engagements performed by Internal and External Audit
2. Facilitate walkthroughs, meetings, audit sample collection, etc. and other tasks as needed to maintain an efficient and effective SOX program.
3. Collaborate with external auditors to define annual SOX scoping and ensure efficient and adequate coverage of financial controls.
4. Lead efforts to research testing exceptions and deficiency identification

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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...

DISCLAIMER

Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

5. HOW DO YOU PROCESS INFORMATION?

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

8. HOW TO PRIORITIZE WORK?

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

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