SOX Compliance and Controls

1 week ago

Bengaluru, Karnataka, India Broadridge Full time US$ 7,50,000 - US$ 15,00,000 per year

About Us:

Broadridge (NYSE: BR) is a global fintech leader with $9 billion in revenues, helping clients transform their businesses through innovative communications, technology, data, and analytics solutions. We partner with the world's leading financial institutions, processing millions of trades daily involving trillions of dollars, delivering vital communications for over 5,000 brands, and managing shareholder voting in over 90 countries.

Job Description:

We are seeking a Senior Financial Analyst, Sarbanes-Oxley (SOX) Compliance and Controls to join our team within the controllership function of Broadridge Financial Solutions, Broadridge is looking for an associate that can participate in the entire SOX program, from scoping through issue remediation and management reporting. We are seeking a motivated, inquisitive and energetic individual with a passion for driving improvement. In addition, strong organizational skills and attention to detail. This individual will support the SOX Program leader with program redesign, including the implementation of an automated SOX solution.

Key Responsibilities

  • Perform detailed testing of internal controls over financial reporting (SOX) to ensure compliance with regulations and company policies.
  • Design and execute test procedures to evaluate the effectiveness of internal controls and identify potential gaps or deficiencies.
  • Collaborate with internal auditors and process owners to obtain evidence, review testing results, and drive timely remediation of deficiencies.
  • Develop and maintain detailed documentation of test work, findings, and recommendations in line with SOX standards.
  • Prepare reports and presentations for management, the Audit Committee, and external auditors on SOX compliance status.
  • Partner with cross‑functional teams (Finance, IT, Internal Audit, Legal) to ensure proper alignment on compliance activities.
  • Assist in developing policies, procedures, and training programs related to SOX compliance.
  • Support the rollout and adoption of process automation and workflow tools for SOX program management.
  • Stay updated on regulatory changes and industry best practices to strengthen compliance methodologies.

Qualifications & Experience

  • Chartered Accountant / Semi‑Qualified CA with
    6–10 years of post‑qualification experience
    .
  • Strong background in
    SOX controls testing, ITGCs, and internal controls framework
    .
  • Knowledge of
    US GAAP
    and SEC reporting requirements preferred.
  • Prior experience in an MNC, IT, BPO, or technology company is an advantage.
  • Exposure to finance process automation and workflow tools desirable.

Personality Attributes

  • Strong interpersonal and communication skills, with an ability to influence and challenge constructively.
  • High attention to detail with a strong sense of accountability and integrity.
  • Analytical mindset with the ability to evaluate risks and propose creative solutions.
  • Self‑motivated, proactive, and able to work independently while collaborating effectively in teams.
  • Goal‑oriented, adaptable, and capable of managing multiple priorities.

Why Join Broadridge:

  • Be part of a
    Fortune 500 FinTech leader
    driving innovation in governance, risk, and compliance.
  • Opportunity to work on a
    global SOX compliance program
    , including automation and process redesign.
  • Gain exposure to
    cross‑functional teams
    (Finance, IT, Audit, Legal) and broaden your domain expertise.
  • A culture that values
    collaboration, flexibility, and employee well‑being
    —we invest in your growth and work‑life balance.

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