SOX Compliance & Internal Controls Specialist

About Us:

global fintech leader

world's leading financial institutions

Job Summary:

Senior Financial Analyst SOX Compliance and Controls

SOX 404, SEC reporting standards, and US GAAP

Key Responsibilities

• Perform detailed testing of internal controls over financial reporting (SOX) to ensure compliance with regulations and company policies.
• Design and execute test procedures to evaluate the effectiveness of internal controls and identify potential gaps or deficiencies.
• Collaborate with internal auditors and process owners to obtain evidence, review testing results, and drive timely remediation of deficiencies.
• Develop and maintain detailed documentation of test work, findings, and recommendations in line with SOX standards.
• Prepare reports and presentations for management, the Audit Committee, and external auditors on SOX compliance status.
• Partner with cross?functional teams (Finance, IT, Internal Audit, Legal) to ensure proper alignment on compliance activities.
• Assist in developing policies, procedures, and training programs related to SOX compliance.
• Support the rollout and adoption of process automation and workflow tools for SOX program management.
• Stay updated on regulatory changes and industry best practices to strengthen compliance methodologies.

Qualifications & Experience

• Chartered Accountant / Semi?Qualified CA with

  610 years of post?qualification experience

  .
• Strong background in

  SOX controls testing, ITGCs, and internal controls framework

  .
• Knowledge of

  US GAAP

  and SEC reporting requirements preferred.
• Prior experience in an MNC, IT, BPO, or technology company is an advantage.
• Exposure to finance process automation and workflow tools desirable.

Personality Attributes

• Strong interpersonal and communication skills, with an ability to influence and challenge constructively.
• High attention to detail with a strong sense of accountability and integrity.
• Analytical mindset with the ability to evaluate risks and propose creative solutions.
• Self?motivated, proactive, and able to work independently while collaborating effectively in teams.
• Goal?oriented, adaptable, and capable of managing multiple priorities.

Why Join Broadridge:

• Be part of a

  Fortune 500 FinTech leader

  driving innovation in governance, risk, and compliance.
• Opportunity to work on a

  global SOX compliance program

  , including automation and process redesign.
• Gain exposure to

  cross?functional teams

  (Finance, IT, Audit, Legal) and broaden your domain expertise.
• A culture that values

  collaboration, flexibility, and employee well?being

  we invest in your growth and work?life balance.