The SME will support in design, governance, and continuous improvement of the internal controls framework across global finance processes, including P2P, O2C, and R2R (Operations). This role is accountable for driving SOX compliance maturity, ensuring strong risk management practices, enhancing policy governance, and strengthening the organization’s readiness for internal and external audits.

The SME will supervise Compliance Sr. analysts and collaborate closely with Operations, and auditors to ensure a robust control environment and proactive issue remediation

Key Responsibilities

SOX Compliance & Process Controls Leadership

- Support end‑to‑end design, implementation, and governance of internal controls for P2P, O2C, R2R, and other in‑scope financial processes.
- Oversee SOX compliance activities, including control documentation, walkthroughs, design assessments, testing support, and remediation tracking.
- Ensure all SOX controls are effectively operating, sustainable, and embedded in business practices.
- Drive continuous control improvements by identifying gaps, implementing preventive/detective controls, and addressing systemic issues across processes.
- Provide guidance to process owners on control requirements, control design adequacy, and evaluation of control failures.

Risk Management & Controls Assurance

- Lead periodic risk assessments across finance functions to identify emerging risks, process vulnerabilities, and control design weaknesses.
- Develop and monitor mitigation plans, corrective actions, and preventive measures integrated into the SOX/ICOFR framework.
- Review key risk indicators, perform trend analysis on recurring issues, and recommend strategic improvements to leadership.
- Ensure risks are appropriately escalated with visibility to senior management.





Policy Governance & Regulatory Compliance

- Develop, enhance, and enforce internal policies, standards, and procedures aligned with SOX, ICOFR, and relevant regulatory frameworks.
- Provide oversight of global compliance procedures to ensure uniform adoption and adherence across regions.
- Lead periodic policy refresh cycles and ensure documentation reflects evolving regulations and business changes.

Training, Capability Building & Stakeholder Engagement

- Create and deliver structured training programs for global finance teams on SOX controls, IPE standards, documentation expectations, and compliance awareness.
- Enable process owners by conducting workshops, deep‑dives, and refresher sessions on key compliance topics.
- Build a robust compliance culture by ensuring teams understand roles, responsibilities, and consequences of non‑compliance.
- Mentor and coach junior team members to build internal control expertise within the team.

Audit Co-ordination (Internal & External)

- Oversee the organization’s readiness for internal audits, external audits, and SOX testing cycles.
- Act as the primary liaison for auditors, ensuring timely responses, complete documentation, evidence sufficiency, and closure of audit requests.
- Review audit observations and ensure accountability for remediation within committed timelines.
- Provide leadership with consolidated audit insights, themes, root causes,



and corrective action effectiveness.

Compliance Monitoring, Reporting & Governance

- Establish and operate monitoring mechanisms to ensure continuous compliance with policies, control frameworks, and regulatory expectations.
- Lead periodic compliance reviews, quality checks, and control health checks across finance processes.
- Prepare leadership dashboards, status reports, heatmaps, and executive summaries on SOX readiness, control failures, and remediation progress.
- Present insights, trends, and improvement recommendations to senior leadership and governance forums.

Quality Assurance & Continuous Improvement

- Champion quality standards for control documentation, IPE compliance, independent support, reconciliations, and control execution.
- Lead initiatives to streamline processes, remove inefficiencies, and increase automation in control activities.
- Drive alignment with leading practices in internal controls and financial reporting

Qualifications

- Bachelor’s or Master’s in Finance, Accounting, Business, or related field.
- CA / CPA / CIA / CISA/ CMA preferred.
- 3-5+ years of experience in SOX, internal controls, audit, or compliance roles.
- Strong understanding of end‑to‑end finance processes and internal control frameworks.
- Experience working with auditors, control owners, and cross‑functional global teams.
- Strong analytical, communication, leadership, and stakeholder‑management skills.

Skills and Competencies :

- Highly motivated individual who is willing to take initiatives to enhance the internal control framework
- Understanding on developing PowerBI visualization will make an edge
- Strong analytical skills to assess compliance and quality issues.
- Effective problem-solving a

📌 Sme - Controls and Compliance (Pune)
🏢 Nielseniq
📍 Pune