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SOX Auditor

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AllianceBernstein

20d ago

  • Job
    Full-time
    Junior Level
  • Accounting & Tax
    Business, Operations & Strategy
  • Pune
  • Quick Apply

AI generated summary

  • You need a college degree, 2+ years in Audit/SOX, strong communication skills, ability to engage with senior management, flexibility to travel, and preferred professional certification.
  • You will execute SOX compliance testing, assess controls, document results, participate in walkthroughs, advise management, and report progress while maintaining professional relationships.

Requirements

  • A college degree.
  • At least two years Audit, SOX PMO, and/or SOX Testing experience, preferably within the financial services industry.
  • Excellent interpersonal and communication skills essential.
  • Ability to interact with senior and executive level management on a regular basis.
  • The flexibility to travel to other AB offices when necessary.
  • Professional certification preferred.

Responsibilities

  • Assist the SOX Audit Director in executing and overseeing the annual SOX 404 documentation and testing by the following means:
  • Execute internal control testing in support of the SOX compliance program, including assessing risk, validating controls, and updating as required.
  • Assess effectiveness of application controls and key reports relating to business processes
  • Create and execute test procedures and document test results in accordance with work paper guidelines.
  • Prepare work papers to ensure consistency between test objectives, evidence obtained and test results.
  • Keep management apprised of testing status and escalate exceptions / key issues for review.
  • Coordinate and / or participate in process walkthroughs with management (process owners) to review all existing key controls.
  • Assist management in updating current process documentation over internal controls, and actively partner with management to ensure effective controls are in place to address key IT, business, and financial reporting risks.
  • Maintain an effective and efficient planning, execution, and coordination of work between testing team and process owners across the organization.
  • Advise management on effective control design, test results and related assessments supporting the firm’s compliance efforts.
  • Continuously report SOX testing related progress and results to Senior SOX Auditor and SOX Audit Director
  • Ensure that deliverables are completed in a timely and accurate fashion.
  • Assist with special projects as needed.
  • Develop and maintain a professional relationship with client personnel.

FAQs

What is the role of a SOX Auditor at AB?

The SOX Auditor is responsible for evaluating the effectiveness of key controls related to the Sarbanes Oxley (SOX) 404 certification processes, performing effectiveness testing of internal controls over financial reporting, and assisting in the maintenance of SOX documentation.

What kind of experience is required for this position?

The position requires at least two years of audit, SOX PMO, and/or SOX testing experience, preferably within the financial services industry.

What qualifications are necessary to apply for the SOX Auditor position?

A college degree is necessary, and professional certification is preferred.

Will the SOX Auditor work closely with management?

Yes, the SOX Auditor will interact with senior and executive level management on a regular basis and will be responsible for keeping management apprised of testing status and escalating key issues.

What are some specific responsibilities of the SOX Auditor?

Specific responsibilities include executing internal control testing, preparing work papers, coordinating process walkthroughs, advising management on control design, and maintaining effective communication with process owners.

Is travel required for this position?

Yes, the position requires the flexibility to travel to other AB offices when necessary.

What skills are essential for a successful SOX Auditor at AB?

Excellent interpersonal and communication skills are essential for interacting with management, as well as strong analytical skills to evaluate controls and assess risks.

What unique opportunities does this role provide?

This role offers a holistic understanding of multiple technologies and systems, exposure to top management, and the chance to influence change and mitigate risks across the organization.

What is the location for this position?

The position is based in Pune, India.

Do we support professional development and ongoing education for SOX Auditors?

Yes, we encourage participation in professional associations and staying current on industry, regulatory, and corporate matters related to SOX compliance.

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AllianceBernstein

#FullyInvested

Finance
Industry
1001-5000
Employees
1967
Founded Year

Mission & Purpose

AllianceBernstein (AB) is a leading global investment management firm that offers high-quality research and diversified investment services to institutional investors, individuals, and private wealth clients in major world markets. We are one of the largest investment management firms in the world, with more than $665 billion in assets under management as of February 2023. We foster a diverse, connected, collaborative culture that encourages different ways of thinking and differentiated insights. We embrace innovation to address increasingly complex investing challenges. We pursue responsibility throughout our firm—from how we work and act to the solutions we design for clients. AllianceBernstein, L.P. does not transact or advise on any cryptocurrency or related products. In addition, we do not conduct business through Facebook, WhatsApp, or any other social media. Any posts on such sites are fraudulent and have not been made by AllianceBernstein, L.P.