SOX Compliance (Consultant / Senior Consultant)

Protiviti India; Gurugram District; On-site; INR 900,000 - 1,500,000; Full time

Job summary

Protiviti India is seeking a skilled SOX Compliance and Internal Audit Consultant to lead engagements around SOX 404, ICFR, and GRC. You will assess control design, develop narratives and RCMs, and perform IPE and MRC testing to ensure robust control environments.

You will coordinate with risk owners, IT, and accounting teams to drive process improvements, readiness for external audits, and ongoing compliance across client engagements.

Qualifications

• Experience executing client engagements in SOX 404 & Clause 49.
• Ability to develop risk control matrices and process narratives.
• Perform gap assessments and identify automation opportunities; drive process transformation.
• Review internal control designs to ensure SOX compliance.
• Develop narratives, RCMs and flowcharts for controls.
• IPE testing to validate data reliability and alignment with control objectives.
• MRC testing of management review controls; assess evidence quality.
• Support SOX readiness and collaboration with cross-functional teams.
• Assist external audits with documentation and auditor inquiries.
• Mentor junior team members and improve engagement productivity.

Responsibilities

• Execute client engagements in SOX 404 & Clause 49 compliance.
• Discuss risks with risk owners and develop mitigation plans.
• Conduct detailed walkthroughs to identify automation opportunities.
• Review control designs for SOX compliance.
• Create process narratives, RCMs and flowcharts.
• Perform IPE testing to verify data reliability and integrity.
• Test Management Review Controls for effectiveness.
• Assist clients in SOX readiness and external audits.
• Collaborate with accounting, IT and operations to meet control objectives.
• Review working papers and client folders; propose improvements.
• Maintain status trackers and report progress to PM/Director and stakeholders.
• Ensure adherence to engagement plans and risk management procedures.
• Stay updated on IT trends and integrate risk from new technologies.
• Help seniors/managers develop new methodologies and initiatives.
• Coach juniors and analysts; nurture learning culture.

Skills

SOX Compliance

Internal Audit

ICFR

GRC

Risk Assessment

Process Improvement

Data Testing

Audit Documentation

Stakeholder Communication

Job description

What are we looking out for:

Skilled and detail-oriented SOX Compliance and Internal Audit Consultant who will play a critical role in ensuring compliance with SOX requirements through the design, execution, and assessment of internal controls over financial reporting (ICFR).

Job Profile (Non IT SOX):

• 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.
• 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.
• Working on SOX readiness
• 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.