Senior Consultant || SOX

Job responsibilities :

• Responsible for executing client-related engagements in the areas of SOX 404 & Clause 49 assistance, Governance, Risk & Compliance (GRC), Internal Audits, Process Reviews, Standard Operating Procedures,.
• Responsible to discuss with risk owners for identification and assessment of key risks and development of mitigation plans
• Perform gap assessments by conducting detailed walkthroughs with process owners and identifying opportunities for automation, process transformation
• Review and assess the design of internal controls to ensure they address key risks and comply with SOX requirements.
• Develop detailed process narratives, risk control matrices (RCMs), and flowcharts.
• Expertise in Substantive testing procedures - Conduct tests of transactions to validate the effectiveness of controls over financial reporting; verify the accuracy, completeness, and validity of data through sampling methodologies and data analytics.
• Information Produced by the Entity (IPE) Testing - Evaluate the reliability of information used in the execution of controls; perform detailed testing to validate the accuracy, completeness, and integrity of IPEs; ensure that data sources and logic align with control objectives.
• Management Review Controls (MRC) testing Test the design and operating effectiveness of Managements review of financial and operational data; evaluate the documentation, criteria, and frequency of management reviews; assess the quality of evidence and identify any gaps in the review process.
• Assess the existence, efficiency, and effectiveness of the SOX control environment by directing control / process optimization.
• Collaborate with cross-functional teams, including accounting, IT, and operations, to ensure control objectives are met.
• Assist clients in preparation for external audits by addressing auditor inquiries and providing necessary documentation.
• Inspect companys policies and procedures; perform evaluation of control design; and carry out assessment of the effectiveness of company internal controls concerning business processes and systems.
• Review of working papers & client folders. Suggest ideas on improving engagement productivity and identify opportunities for improving client service.
• Create / manage status trackers and report the statuses and / or challenges to the Project Manager / Director, clients and all other stakeholders over status calls.
• Ensure compliance with engagement plans and internal quality & risk management procedures.
• Keep abreast of emerging technologies with the IT environment and help in developing audit plans to counter whatever risks that might be associated with the application of such technologies.
• Assist seniors & managers in developing new methodologies and internal initiatives.
• Create a positive learning culture, coach, counsel and develop junior team members. Attention to detail and mentor young interns and analysts within the practice.
• Perform other duties that may be assigned by management.

Skills Required

Internal Audits, Governance