EY GDS Assurance FAAS Senior – Control & Compliance – SOX Designing & Implementation

The opportunity

GDS Assurance FAAS is a dynamic group of people focused on helping our clients solving tomorrow’s problems today through integrated solution service offerings in the area of risk, such as risk management and financial controls.

As an SOX skilled, the individual should be a qualified CA/CPA/ACCA/MBA (SOX/CIA certification is a plus) with extensive experience in IFC and a firm grasp of the SOX audit processes and methodology. The individual gets an excellent opportunity to interact with senior management as well as the opportunity to enhance your skills in the areas of technical competency, business development, client service and people development.

Your key responsibilities

Client Delivery and Project Management:

- Undertake and deliver on engagements, managing multiple internal and external stakeholders. Projects will vary and may include implementation or review of internal and financial control frameworks, enterprise risk management, governance risk and control (GRC), Sarbanes-Oxley (SoX) implementations or reviews, risk and control automation, and performance improvement. Support the execution and daily deliverables of a portfolio of client projects, ensuring high-quality deliverables are completed on time and within budget. Plan, implement, coordinate, and execute all phases of SOX compliance, (to include leading walkthroughs and identifying/validating key controls, developing test procedures, executing, and documenting testing, and reporting results to Management). To Ensure clear, concise, actionable, and practical observations and recommendations, with a well-documented process for communication and resolution with clients on SOX deficiencies observed. Understand client(s) requirements, respond promptly to client requests and enquiries, and consistently meet client needs.
- Responsible for execution of SOX, IFC Designing, walkthrough & Implementation, Business Process Review, Creation & mapping of Business Flow charts with RCM etc. (individually and as a team). To Perform risk assessment procedures, including identification of significant accounts & classes of transactions, mapping of business processes and provide comprehensive input to the development of a risk-based annual internal audit/SOX audit plan.

Technical Expertise:

Assist clients in implementing, assessing, or managing risk and control frameworks. Perform internal assessment work to provide assurance over processes and control environments across various financial and operational areas. Demonstrate risk awareness and understanding of business impact while drafting pragmatic, improvement-focused recommendations.

Quality and Risk Management:

Monitor and manage client engagements, including project planning and adherence to quality standards. Ensure compliance with EY’s quality and risk management processes throughout client acceptance, contracting, and engagement delivery. Proactively identify and manage risks across engagements, escalating issues where appropriate.

Stakeholder Management:

Develop and maintain productive working relationships with client personnel, leading client meetings and serving as a key point of contact during engagements. Plan and lead both client and internal meetings to ensure alignment on project goals, timelines, and deliverables. Collaborate cross-functionally with other EY service lines and subject matter experts to deliver high-quality insights. Support Managers/Senior Managers in the process of preparing audit plans, audit program, testing and reports Work with existing processes/systems whilst making constructive suggestions for improvements. Demonstrate critical thinking and the ability to bring order to unstructured problems. Able to read situations and modify behaviour to build quality relationships. Responsible for quality and timeliness of deliverables,



including conclusions on control effectiveness and impact of control deficiencies.

Team Leadership and Development:

Lead junior team members by providing on-the-job coaching and day-to-day oversight of their work. Work effectively in a team, sharing responsibilities, providing support, maintaining communication, and updating senior team members on progress. Contribute to a positive team environment by demonstrating consistent commitment to teamwork and optimism in the face of work challenges.

Promoting EY’s Values:

Champion EY’s commitments to integrity, respect, and teamwork in all client and internal interactions. Foster an inclusive and diverse working environment where everyone feels valued and empowered to contribute.

Practice Development:

Contribute to practice development and internal initiatives, including learning and development programs and solution development.

Your day-to-day role will include:

- Scoping and planning of controls and internal audit engagements.
- Developing risk and control matrices; create test plans and clear working papers to document test results.
- Assisting clients in implementing, assessing or managing risks and control frameworks.
- Producing process documentation following discussions with clients, identifying and evaluating risks and assessing whether controls are designed effectively and mitigate risks.
- Preparing high-quality written client deliverables/reports.
- Responsible for decision-making, optimizing processes, resource management, and overseeing team management as needed for task execution.
- Accountable for allocating personnel, supervising team members, assigning tasks, ensuring that the team has the necessary tools and support to succeed in their roles and optimizing and evaluating their performance to meet organizational goals.

Skills and Experience

You will be a trusted advisor with proven technical expertise in risk, processes and controls that will complement our Risk control and compliance teams in delivering high-quality solutions to our clients. Your skills and experience will include:

- Core Business Understanding: Strong understanding of core business processes, risks, and controls.
- Analytical Skills: Proven ability to analyse and interpret complex problems and technical guidance, developing innovative solutions.
- Task Management: Skilled in effectively managing and prioritizing multiple tasks and client demands, including those with similar or conflicting timelines. This includes maintaining a forward view on upcoming tasks that require planning and preparation.
- Team Collaboration: Demonstrated ability to work independently and as part of a team in a fast-paced environment.
- Technology Utilisation: Seek to embrace and leverage technology throughout project delivery, with experience in data analytics, automation, continuous auditing, and AI integration. Ability Ability to develop dashboards across key data visualisation tools (e.g., Tableau, PowerBI) and produce visual reports to track key risks and control metrics is desirable, though not essential.
- Stakeholder Management: Good stakeholder management skills, including upward management and strong communication abilities.
- Adaptability: Ability to respond to and adapt to feedback received, demonstrating flexibility in approach.
- Proactive Mindset: Self-starter with a proactive approach and a natural curiosity for continuous learning.
- Navigating Ambiguity: Capable of working in areas of uncertainty and navigating ambiguous situations effectively.
- Client Commitment: A strong commitment to going above and beyond for clients,



coupled with a significant sense of personal responsibility towards work.
- Technical Proficiency: Strong skills in Microsoft PowerPoint, Excel, and Word.
- Other desirable skills and experience: professional experience, skills and knowledge in the following areas is desirable but not essential; finance transformation, controls automation, programme assurance, IT controls including analysing core systems (e.g., SAP and Oracle) to identify control weaknesses

To qualify for the role, you must have

- 1 to 7 years of relevant experience in SOX/IFC Designing & Implementation (preferably from the Risk Advisory practice of a Big 4 or reputed Consulting firms, else exposure to SOX in Industry will also do)
- Experience in conducting risk assessment procedures pertaining to financial reporting, process flow mapping, design, and documentation of RACM, controls testing, evaluation of control deficiencies and remediation plans Should be able to understand complex business situations, risk, and controls in ERP environment, identify gaps and suggest leading practices along with solid understanding on PCAOB requirements and COSO framework
- Should be process oriented and have strong analytical skills Should understand financial statements under Indian/US GAAP Have knowledge and understanding of SOX Framework
- Should possess excellent communication and report writing skills Capability of dealing with big clients Ability to handle pressure and manage complex situations Consistently demonstrate teamwork dynamics by working as a team member: understand personal and team roles; contribute to a positive working environment by building solid relationships with team members; and proactively seek guidance, clarification and feedback. Strong working experience of Excel, Visio, Word and other MS Office applications.

What we look for:

We are interested to hear from entrepreneurial people who feed on the energy of a thriving global team. We seek a high level of drive, commitment to achieving solutions, and ability to work under pressure. We need people worthy of trust, who demonstrate enthusiasm, passion to grow fast and are highly motivated to support this purpose. There is an expectation to be able to travel outside of the assigned office, which may involve UK regional or international travel.

We invite applications from all cultures, backgrounds and experiences and are proud of our culture where people from all walks of life can grow and thrive. If you want to know more about our people and our culture, search #EyCulture on LinkedIn.

What we offer:

EY is committed to being an inclusive employer and we are happy to consider flexible working arrangements. We strive to achieve the right balance for our people, enabling us to deliver excellent client service whilst allowing you to build your career without sacrificing your personal priorities. While our client-facing professionals can be required to travel regularly, and at times be based at client sites, our flexible working arrangements can help you to achieve a lifestyle balance.

We offer a competitive remuneration package. Our comprehensive Total Rewards package includes support for flexible working and career development, and with FlexEY you can select benefits that suit your needs, covering holidays, health and well-being, insurance, savings and a wide range of discounts, offers and promotions. Plus, we offer:

- Continuous learning:You’ll develop the mindset and skills to navigate whatever comes next, including having the opportunity to gain an EY Tech MBA which is an accredited MBA program offered to all EY professionals globally
- Success as defined by you:We’ll provide the tools and flexibility, so you can make a meaningful impact, your way.
- Transformative leadership:We’ll give you the insights, coaching and confidence to be the leader the world needs.
- Diverse and inclusive culture:You’ll be embraced for who you are and empowered to use your voice to help others find theirs.

📌 SOX Audit-Senior (Kolkata)
🏢 EY
📍 Kolkata