The main objective of the CFO Operational Risk and Control (ORC) & Sarbanes Oxley (SOX) 404 Compliance team is to identify; measure and manage the operational risks within CFO functions through key CS Group level programs such as Global SOX 404, General Ledger Account Ownership (GLAO) and Regulatory reporting Programs. Team is responsible for monitoring CFO related control issues and ensuring that a control culture is embedded within CFO function. In order to ensure the control environment is operating effectively, the team is also responsible for carrying out planned and ad-hoc Quality Assurance Reviews (QARs) across Group Finance and certain support departments.
Main Duties/Responsibilities Of The Role
The role is in the SOX program management of the CS group, as a key team member in all the phases of the SOX cycle.
Involves performing and managing deployed SOX processes in Pune. It involves very high level of multi-tasking. The role covers the region Americas area of the SOX program.
Assist SOX leader in various program related activities like
Drive regional scoping & mapping of the controls
Perform SAB99, Incidents and audit report reviews regarding SOX relevancy
Support line with technical system guidance and overall SOX approach guidance
Oversee timely DET & OET completion
Support line in SOX issue documentation and regular updates, track regional issues
Oversee timely end of year sign-offs of processes and controls
Review End of Year sign-off metrics, produce sign-off presentation and manage electronic sign-off
Oversee metrics and quality report reviews
Prepare or provide inputs for various management reporting e.g. Steering Committee etc.
Perform system UAT testing
Projects and Ad-hoc requirements
Required Work Experience/Background
CPA or Chartered Accountant
7-9 years of relevant experience
Knowledge & experience of SOX requirements / Accounting / Audit experience
Exposure to Financial services industry
Strong analytical and communication skills
Proficient in Microsoft applications
Strong attention to detail
Effective verbal and written communication skills
Ability to learn and apply learning quickly
Excellent team player / team leading skills
Problem solving skills
Time management – organizing and prioritizing work
Ability to meet strict reporting deadlines
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