Responsibilities

About Principal: understand who we are

With more than 19,000 employees worldwide, Principal helps people and companies in Asia, Australia, Europe, Latin America, and North America build and protect their financial well-being. We’ve been doing this for 143 years. A FORTUNE 500 company, we are known for our cutting-edge ideas and real-life solutions that help customers make financial progress, no matter their income or portfolio size.

Principal Global Services (PGS) is the global business services (GBS) for Principal Financial group with offices in India and the Philippines and 3500+ employees.

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Essential deliverables: the section helps understand the job ownership and accountability

Role Purpose

The SOX BU coordinator role is responsible for documenting, highlighting, updating the risk involved in various processes. Work as a liaison between BU and Corporate SOX Team / Auditors to align the expectations and adhere to the Sarbanes-Oxley (SOX)



compliance requirements. The role ensures that process narratives, risk and control matrices (RCMs), and flowcharts accurately reflect current operations and support effective internal controls over financial reporting (ICFR).

Key Responsibilities

SOX Process Responsibilities

Ensure documentation aligns with SOX 404 and internal control frameworks (e.g., COSO).
Identify and document key risks, control objectives, key controls, and SOX-relevant assertions (completeness, accuracy, existence, valuation, cutoff).
Assess control design effectiveness during documentation and identify gaps or redundancies.
Assess & Update documentation for process changes due to system implementations, reorganizations, or regulatory updates.
Work closely with process owners and coordinators to validate accuracy and completeness of documentation.
Ensure documentation reflects US GAAP, company policies, and SOX st

📌 Senior Lead Analyst (Pune)
🏢 Principal Financial Group
📍 Pune