State Street

SOX Compliance - Emerging Lead

State Street
Bangalore, India;
Not disclosed
18 Apr 2024
30 Apr 2024
Approved employers
Approved employer
Contract type
Full time
Experience level
Qualified accountant

Key Responsibilities:

  • Assist with enterprise-wide scoping of accounts and disclosures (includes both quantitative and qualitative considerations), spreadsheets and models, and third-party service providers (e.g., SOC 1 reports)
  • Assist with creating and reviewing process documentation including, but not limited to, process flowcharts, risk and control matrix
  • Assess, document, and test the operating effectiveness of the key SOX controls while maintaining quality and timeliness
  • Maintain detailed workpapers for the walkthroughs and testing
  • Maintain strict deadlines for population/sample request and proactive action on PBC of samples from BU with effective communication
  • Timely update and review of testing progress in reporting system
  • Assist with enterprise-wide issues findings to determine SOX applicability and perform control deficiency assessments to conclude on severity, update reporting system, and close remediation testing on time
  • Partner closely with Internal and External Audit to understand findings from testing performed
  • Assist with Information technology SOX compliance

Qualifications and Experience:

  • Chartered Accountant (CA)/Certified Public Accountant (CPA)/MBA Finance with 2 to 6 years of progressive experience in major financial institutions working in SOX Compliance auditing experience preferably financial services and Big 4. Certified Information Systems Auditor (CISA) a plus
  • Strong accounting background with theoretical and practical knowledge of US GAAP, SOX 404, and SEC financial reporting standards
  • 2+ years of continuous experience in a Big 4 firm practice testing controls at large public clients
  • Degree in accounting, information technology, or related field
  • Strong time management and organizational skills
  • Ability to work independently, takes ownership, prioritize and multitask, and maintain effective communication skill
  • Ability to work in a fast-paced, detailed, and deadline-oriented environment and be a quick learner
  • Commitment to continuous learning on SOX compliance and related regulations, methodologies, and best practices
  • Flexible to adopt situation-based decisions, should be goal oriented thinker, with ability to identify creative ideas & solutions
  • Strong interpersonal, oral, and written communication skills; ability to effectively challenge and influence
  • Should have healthy experience working in Excel, Access, PDF, and Vision

For further information, and to apply, please visit our website via the “Apply” button below.

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