SOX Controls Specialist

Location: Bangalore

Time: 12:00 pm-9:30 pm

Responsibilities

SOX 404 support on behalf of the Client’s Internal Audit Team

·        Execute the end-to-end annual SOX 404 program for business and IT controls (planning, walkthroughs, design assessment, interim testing, roll-forward, and remediation), including timeline coordination, status reporting, and quality reviews in line with US financial reporting requirements.

·        Assess control design and operating effectiveness by analyzing process flows, evidence, control precision, and exceptions, document clear, defensible conclusions.

·        Produce technically robust, audit-ready workpapers with well-structured testing logic and clear linkage to control objectives/assertions, in compliance with client methodology and relevant standards.

·        Coordinate with the onshore SOX client team and process owners to align on scope, testing approach, evidence expectations, and issue resolution; provide practical guidance on internal control best practices to support remediation.

·        Upkeep (and/or supervise upkeep) of AuditBoard and other audit technology tools, including user support, workflow administration, and data integrity checks.

·        Review and evaluate third-party SOC reports (SOC 1, SOC 2) to assess the adequacy of controls that may impact financial reporting and identify complementary user entity controls (CUECs) for follow-up.

·        Collaborate on special projects and ad-hoc analyses requested by management.

Desired Skills & Competencies

·        Master’s Degree or equivalent in Accounting, Finance, or a related field required

·        Experience in internal audit, risk, or advisory roles (including SOX/internal controls) within financial organizations; knowledge of IIA Professional Practices and Standards; demonstrated team management experience.

·        Experience in compliance, enterprise/operational risk, and control/operations/audit in the financial services industry preferred. Strong understanding of Asset Management products and clients is a plus.

·        Proficiency in Microsoft Office with a strong emphasis on PowerPoint and Excel

·        Experience with Governance, Risk & Compliance technology tools (e.g., AuditBoard), and reporting/analytics tools (e.g., Power BI, Tableau) is a plus.

·        Strong technical and analytical skills

Soft Skills

·        Ability to take initiatives and collaborate with multiple teams.

·        Excellent verbal and written communication, collaboration, and presentation skills.

·        Strong diligence, integrity, and professionalism.

·        Values and promotes diversity in the team.

·        Proven ability to perform under pressure and manage competing priorities.

·        Fluency in English (verbal and written) is a compulsory requirement.

·        Demonstrated ability to maintain a high degree of confidentiality in a variety of sensitive settings.