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 solid 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 abilities to address and mitigate risks.
- Excellent verbal and written communication skills.
- Ability to convey complex compliance and quality concepts clearly to various stakeholders.
- Keen eye for detail to identify potential compliance and quality issues.
- Ensure accuracy in documentation and reporting.
- Familiarity with compliance and quality management software.
- Understanding of industry-specific regulations and standards.
- Ensure that compliance and quality initiatives align with customer expectations.
- Strive to enhance stakeholder satisfaction through quality improvements.
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📌 Sme Controls and Compliance (Pune)
🏢 Nielseniq
📍 Pune