SOX Auditor

Job Summary

We are seeking an experienced SOX Auditor to support the organization’s Sarbanes-Oxley (SOX) compliance program and internal control environment. The individual will be responsible for evaluating business and IT processes, testing internal controls, identifying control deficiencies, coordinating remediation activities, and supporting internal and external audit requirements.

The ideal candidate will have strong knowledge of SOX 404, internal controls over financial reporting (ICFR), COSO framework, risk assessment, audit testing, and control documentation, with the ability to work effectively with Finance, Accounting, Technology, Risk, Compliance, and business stakeholders.

Key Responsibilities

- Perform SOX compliance activities, including process walkthroughs, risk assessments, control design assessments, and operating effectiveness testing.
- Evaluate Internal Controls over Financial Reporting (ICFR) in accordance with SOX requirements and the COSO framework.
- Review and maintain documentation including:
- Risk and Control Matrices (RCMs)
- Process narratives
- Flowcharts
- Control descriptions
- Testing procedures and workpapers
- Perform testing of key controls across financial and operational processes such as:
- Record-to-Report
- Procure-to-Pay
- Order-to-Cash
- Payroll
- Treasury
- Financial Close and Reporting
- Fixed Assets
- Revenue Recognition
- Evaluate whether controls are appropriately designed to mitigate identified financial reporting risks.
- Execute control testing, obtain and review supporting evidence, document testing results, and identify exceptions.
- Identify control gaps and deficiencies, assess their potential impact, and work with process owners to develop remediation plans.
- Track remediation activities and perform follow-up testing to confirm corrective actions have been successfully implemented.
- Support management's annual SOX certification and assessment process.
- Coordinate with internal audit, external auditors, Finance, Accounting, IT, Risk, and Compliance teamsduring SOX testing and audit activities.
- Support external auditors by providing requested documentation, evidence, walkthrough support, and responses to audit inquiries.
- Evaluate changes to business processes, systems, organizational structures,



or accounting practices to determine their impact on SOX controls.
- Participate in scoping exercises to identify significant accounts, processes, applications, and key controls.
- Support the evaluation and documentation of Entity-Level Controls (ELCs).
- Review controls related to spreadsheets, reports, interfaces, and other key information used in financial reporting processes.
- Monitor SOX testing schedules, open issues, remediation activities, and audit deliverables to ensure deadlines are met.
- Identify opportunities to simplify, standardize, and automate controls while maintaining appropriate risk coverage.
- Maintain high-quality audit documentation in accordance with internal audit standards and applicable regulatory requirements.

IT SOX Responsibilities Depending on the engagement, the SOX Auditor may also be responsible for reviewing or coordinating testing of IT General Controls (ITGCs), including:

- User Access Management
- Privileged Access Management
- User Access Reviews
- Segregation of Duties
- Change Management
- System Development Lifecycle controls
- Computer Operations
- Backup and Recovery
- Job Scheduling and Batch Processing
- Incident and Problem Management
- Interface and Data Transmission Controls
- Evaluate automated controls and system-generated reports supporting financial controls.
- Coordinate with IT auditors and application owners to assess dependencies between business process controls and IT controls.

Required Qualifications
- Bachelor's degree in Accounting, Finance, Business, Information Systems, Risk Management, or a related discipline.
- Typically 4–8 years of experience in SOX compliance, internal audit, external audit, risk advisory, or internal controls.
- Strong working knowledge of:
- Sarbanes-Oxley Act, particularly SOX Section 404
- Internal Controls over Financial Reporting
- COSO Internal Control Framework




- Risk and Control Matrices
- Audit methodologies and control testing
- Experience conducting process walkthroughs and evaluating control design and operating effectiveness.
- Experience documenting audit findings, control deficiencies, and remediation recommendations.
- Strong understanding of financial and accounting business processes.
- Ability to analyze complex processes and translate risks into appropriate control requirements.
- Strong written and verbal communication skills.
- Ability to communicate audit findings effectively with both technical and non-technical stakeholders.
- Solid analytical, organizational, and problem-solving skills.
- Ability to manage multiple audit assignments, stakeholders, and deadlines independently.

Preferred Qualifications
- Professional certification such as CPA, CIA, CISA, CA, ACCA, or equivalent.
- Experience working with publicly traded companies or organizations subject to SOX requirements.
- Experience supporting Big Four or external audit firms during annual SOX audits.
- Familiarity with PCAOB auditing standards.
- Experience with Governance, Risk, and Compliance platforms such as:
- AuditBoard
- Workiva
- ServiceNow GRC
- Archer
- SAP GRC
- Experience with ERP platforms such as SAP, Oracle, PeopleSoft, or Workday.
- Knowledge of data analytics and audit tools such as Excel, SQL, Power BI, or Tableau is beneficial.

Key Skills
- SOX 404 Compliance
- ICFR
- COSO Framework
- Internal Audit
- Risk Assessment
- Control Design & Operating Effectiveness Testing
- Risk and Control Matrices
- Process Walkthroughs
- Financial Controls
- IT General Controls
- Audit Documentation
- Control Deficiency Assessment
- Remediation Management
- External Audit Coordination
- Stakeholder Management
- Financial Reporting Processes

Success in This Role The successful candidate will demonstrate strong attention to detail while maintaining a broader understanding of business and financial reporting risks. The individual should be comfortable challenging existing processes, identifying practical control improvements, collaborating with process owners, and ensuring that SOX requirements are met without creating unnecessary operational complexity.

📌 SOX Auditor (India)
🏢 Maganti It Resources
📍 India