Sr Associate / AVP - SOX Compliance (10+ Years)

Location: Bangalore(East)
Discipline: Banking & Finance
Job type: Permanent
Contact name: Nikita Gupta

Contact email:
Job ref: 36174
Published: 12 days ago

Sr Associate / AVP - SOX Compliance - Financial Services (7+ Years)

An exciting opportunity for a professional having expertise in SOX Compliance. This role involves Business control testing, auditing, internal control assessments, review controls and risk assessments. If this sounds interesting, read on!

Please Note: This is not a ITGC Role

Location:  Bangalore

Your Employer: A leading, global firm with a distinguished clientele providing extensive financial and asset management services.

 Key Responsibilities:

  • Performing and/or reviewing of testing of controls

  • Risk Assessment review by 10K/Q financial statement line item for both quantitative and qualitative risk factors

  • Partnering with LOB, finance, risk and/or technology stakeholders to support consistent implementation of the SOX & CCAP framework

  • Assisting in validation and closure of SOX/CCAP issues and related action plans

  • Assisting with monthly and quarterly reporting

  • Creating a proactive risk and control culture that leverages proven evaluation strategies and sound change management protocols

  • Good understanding of any country’s VAT/GST Law


  • 7-10 years’ experience in Auditing, Accounting, Internal Control, Quality Assurance and/or Finance

  • Degree or Post Graduate Degree in Accounting or Finance; CA/ CPA (or any other professional accounting qualification) preferred

  • Strong background in and/or familiarity with the Financial Services Industry preferred

  • Proficient knowledge of control and risk management concepts with the ability to design, create and evaluate risks and controls in conjunction with business partners

  • Working knowledge of financial reporting risks and controls

  • Working knowledge of Microsoft Office applications (Word, Excel, PowerPoint, Visio). • Knowledge of business intelligent tools (such as Xceptor, Alteryx, Tableau etc.) preferre

  • Good understanding of any country’s VAT/GST Law and ability to review VAT/GST returns

  • People Management experience required

  • Knowledge of financial markets and banking preferred

  • Knowledge of automation tools (Alteyx/Tableau) or experience with Transformation projects is an added plus

What’s In it for you?

  • An opportunity to define, lead and coordinate the operations of the company

  • Liaise extensively with stakeholders

  • An opportunity to work with a blue–chip firm in a high visibility role

Reach Us: If you think this role is aligned with your career, kindly write me an email along with your updated CV on for a confidential discussion on the role.

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