Open To Work
Marlon Rucker
Chicago
Summary
Experienced SOX and regulatory assurance specialist with 12 years in Big 4 audit and controls advisory for financial services. Leads SOX Section 404 programs, overseeing risk assessment, testing of business and IT controls, and deficiency remediation. Ensures quality assurance for regulatory reporting through risk tiering and transaction testing.
Overview
12
12
years of professional experience
1
1
Certification
Work History
Senior Manager, Enterprise Controls and Risk Solutions
PwC (Big 4)
Chicago
07.2022 - 06.2025
- Directed SOX Section 404 compliance programs for Fortune 500 financial services clients, establishing strategy and procedures aligned with COSO and PCAOB standards.
- Defined annual SOX scope through risk assessments of financial reporting and control environments, identifying key accounts, processes, applications, NMTs, and third parties affecting ICFR.
- Developed and secured approval for annual SOX testing plans encompassing business process controls and ITGCs; coordinated quarterly and annual testing with internal teams while monitoring progress.
- Evaluated SOC 1 reports and user entity controls, integrating third- and fourth-party considerations into overall SOX conclusions and remediation strategies.
- Managed deficiency resolution by assessing severity, drafting governance narratives, and driving accountability for remediation, validating closure through re-testing and achieving ~35% reduction in average closure time.
- Facilitated SOX 302/404 certifications and sub-certifications; coordinated management representation letters and liaised with external auditors.
- Developed RRQA-style test plans for regulatory reports with risk tiering (Tier 1-3) and delivered quarterly reports on issues, incidents, and process improvement recommendations.
- Led teams of 5-12 across multiple concurrent workstreams; coached managers and seniors while ensuring quality and responsiveness under tight deadlines.
Manager, Enterprise Controls and Risk Solutions
PwC (Big 4)
Cleveland
07.2019 - 06.2022
- Managed SOX 404 and internal controls engagements from planning to stakeholder reporting for public clients.
- Designed risk-tiered testing strategies for business process controls, ITGCs, and user tools.
- Collaborated with Internal Audit and second-line teams to ensure comprehensive coverage and increase assurance efficiency.
- Improved documentation processes to support audit reliance and enhance compliance with regulatory standards.
- Coordinated cross-functional teams to align on project objectives and ensure successful delivery of solutions.
- Managed project timelines, ensuring timely delivery of services and solutions.
- Cultivated and strengthened client relationships through proactive communication and collaboration.
Senior Associate / Associate, External Audit
PwC (Big 4)
Cleveland
09.2013 - 06.2019
- Audited large public clients, including financial services; tested ICFR design and operating effectiveness, communicating results to controllers and CFOs, enabling informed decision-making for audit committees.
- Performed walkthroughs, control testing, and substantive procedures across close/reporting processes in regulated environments; translated issues into actionable recommendations, enhancing compliance and operational integrity.
Education
Master of Accountancy -
Case Western Reserve University
Cleveland, OHBachelor of Science - Accounting
Case Western Reserve University
Cleveland, OHSkills
- SOX governance
- Risk assessment
- Business Process Controls
- ITGCs
- EUC Risk
- Third-/Fourth-Party Controls
- Deficiency Severity
- Issue Management
- SOX certifications
- Committee support
- Non-Model Tools (NMT)
- Exam preparation
Certification
Certified Public Accountant (CPA), Active License
Systems And Tools
- GRC: AuditBoard, Workiva
- ERP: SAP, Oracle
- Analytics: Excel, Power BI
- Frameworks: SOX 404, COSO, PCAOB, US GAAP
Core Expertise
- SOX 404 Program Strategy & Governance
- Annual Scoping & Risk Assessment
- RCSAs / Process Maps / System Inventories
- Fraud Risk Considerations
- Business Process Controls & ITGCs
- Non-Model Tools (NMT) / EUC Risk
- SOC 1 & Third-/Fourth-Party Controls
- Deficiency Severity & Issue Management
- SOX 302/404 Certifications & Disclosure Committee Support
- RRQA (Risk Tiering, Conformance & Transaction Testing)
- Regulatory Exam Preparation
Work Preference
Job Search Status
Open to workWork Type
Full TimeContract WorkGig WorkLocation Preference
RemoteHybridSalary Range
$170000/yr - $200000/yrTimeline
Senior Manager, Enterprise Controls and Risk Solutions
PwC (Big 4)
07.2022 - 06.2025
Manager, Enterprise Controls and Risk Solutions
PwC (Big 4)
07.2019 - 06.2022
Senior Associate / Associate, External Audit
PwC (Big 4)
09.2013 - 06.2019
Master of Accountancy -
Case Western Reserve University
Bachelor of Science - Accounting
Case Western Reserve University