Associate Director Internal Audit and SOX

Primary Responsibilities

 Oversee and lead the Internal audit and SOX compliance team (Business and IT), manage the service delivery and quality

 Overseeing and anticipating the resource requirements of the clients, build the team according to the needs

 Lead a team of Managers, Assistant Managers, and Seniors and make sure the team delivers high–quality work, on time and to budget

 Review the risk assessment procedures performed by the team, including identification of significant accounts & classes of transactions and mapping of business processes.

 Review SOX documentation such as process flowcharts, process narratives and risk and controls matrix.

 Suggesting business improvements, by assessing risks and controls related to business imperatives

 Optimization of processes to reduce inefficiencies and reduce cost

 Integrate data analytics to provide increased efficiency, assurance and value

 Extensive experience of planning, implementing, coordinating, and executing all phases of SOX

compliance (to include leading walkthroughs and identifying/validating key controls, developing test procedures, executing and documenting testing, and reporting results to Management)

 Detailed review of team members & execution of SOX procedures and ensure testing results are appropriately documented.

 Ensure clear, concise, actionable, and practical observations and recommendations, with a well-

documented process for communication and resolution with clients on SOX deficiencies observed.

 Regularly train the team members on the end-to-end SOX compliance process and procedures.

 Developing long-term relationships across a network of existing and potential clients, understanding their businesses to provide tailored insights.

 Preparing for leadership decks, by synthesizing the data at the company level and connecting the dots and building the story on what is happening in the business and in the market.

Business Leadership:-

 Manage the existing clients and look for opportunities to expand the involvement

 Look for business opportunities beyond existing clients to grow the business

Qualifications, skills and experience

 9+ years of post-qualification experience (CA/CPA/ACCA) with a big 4 or mid/top-tier accounting firm, focused on SOX, internal audit.

 Good understanding of the concepts of internal controls and auditing standards (ex: COSO Framework, PCAOB Audit Standards & IIA Standards)

 CISA is an added advantage

 Experience in conducting risk assessment procedures pertaining to financial reporting, process flow mapping, design and documentation of RACM, controls testing, evaluation of control deficiencies and remediation plans

 Good understanding of the IT systems and IT controls, including areas such as network security, logical access, systems maintenance and change management controls at infrastructure, application and database levels.

 Focus on continuous improvement in quality of testing,risk and control coverage and team performance.

 Review of the sox documentation prepared by the team members

 Possess project management and organizational skills

 Strong verbal and written communication skills

 Strong business acumen