Role Summary
The SOX Controls SME is responsible for ensuring that AI-enabled finance transformation
solutions are designed, implemented, and operated in compliance with Sarbanes-Oxley
(SOX) requirements and enterprise control standards. The role focuses on embedding
controls, auditability, governance, and compliance into finance processes, AI models, and
technology solutions to ensure financial integrity, regulatory adherence, and operational
risk management.
Key Responsibilities
 Design and implement SOX-compliant control frameworks for AI-enabled finance
processes and systems.
 Identify process, technology, and AI-related risks and define appropriate preventive
and detective controls.
 Ensure segregation of duties, approval workflows, audit trails, and evidence capture
are embedded into solution designs.
 Review business and technical requirements to verify compliance with finance, audit,
and regulatory standards.
 Develop and maintain control documentation, process narratives, and compliance
artifacts.
 Support testing, validation, and effectiveness assessments of financial and IT




controls.
 Collaborate with project teams to ensure compliance requirements are incorporated
throughout the solution lifecycle.
 Work closely with Internal Audit, Risk, Compliance, and External Auditors to support
audits and control reviews.
 Provide guidance and training on SOX controls, governance, and compliance best
practices.
Must-Have Skills
 SOX Compliance & Internal Controls
 COSO Framework
 Financial Reporting Controls
 Risk Assessment & Control Design
 ITGC (IT General Controls)
 Audit Management & Regulatory Compliance
 Process Documentation & Control Narratives
 Segregation of Duties (SoD)
 Control Testing & Validation
 Governance, Risk & Compliance (GRC)
 Stakeholder Management & Audit Coordination
 Finance Process Knowledge (Close, Reporting, FP&A;)
Positive-to-Have Skills
 AI Governance & Responsible AI Controls

TCS Confidential | 2

 Technology Transf

📌 SOX consultant (Bengaluru)
🏢 Zorba Consulting India
📍 Bengaluru