SOX Control Specialist

T D Newton & Associates; Bengaluru; On-site; INR 1,800,000 - 3,000,000; Full time

Job summary

T D Newton & Associates in Bengaluru, India seeks a senior SOX 404 specialist to lead the annual program for business and IT controls, coordinating planning, walkthroughs, design assessment, testing, and remediation to meet US financial reporting standards.

You will assess control design and operating effectiveness, produce audit-ready workpapers, and collaborate with the onshore client team while supervising AuditBoard and reviewing SOC reports to ensure controls support financial reporting and

Qualifications

• Master’s degree in Accounting, Finance, or related field.
• Experience in internal audit, risk, or advisory roles (SOX/internal controls).
• Knowledge of IIA Professional Practices and Standards; team management experience.
• Experience with financial services controls and asset management understanding is a plus.

Responsibilities

• Execute end-to-end annual SOX 404 program for business and IT controls.
• Assess control design and operating effectiveness; document conclusions.
• Produce audit-ready workpapers with robust testing logic.
• Coordinate with onshore client team; provide guidance on internal controls.
• Upkeep of AuditBoard and other audit technology tools; ensure data integrity.
• Review SOC 1/2 reports to assess control adequacy and identify CUECs.
• Collaborate on special projects and ad-hoc analyses.

Skills

SOX knowledge

Audit leadership

Communication skills

English fluency

Education

Master’s Degree in Accounting/Finance

Tools

AuditBoard

Excel

Power BI

Tableau

Job description

SOX 404 support on behalf of the Client’s Internal Audit Team

• Execute the end-to-end annual SOX 404 program for business and IT controls (planning, walkthroughs, design assessment, interim testing, roll-forward, and remediation), including timeline coordination, status reporting, and quality reviews in line with US financial reporting requirements.
• Assess control design and operating effectiveness by analyzing process flows, evidence, control precision, and exceptions, document clear, defensible conclusions.
• Produce technically robust, audit-ready workpapers with well-structured testing logic and clear linkage to control objectives/assertions, in compliance with client methodology and relevant standards.
• Coordinate with the onshore SOX client team and process owners to align on scope, testing approach, evidence expectations, and issue resolution; provide practical guidance on internal control best practices to support remediation.
• Upkeep (and/or supervise upkeep) of AuditBoard and other audit technology tools, including user support, workflow administration, and data integrity checks.
• Review and evaluate third-party SOC reports (SOC 1, SOC 2) to assess the adequacy of controls that may impact financial reporting and identify complementary user entity controls (CUECs) for follow-up.
• Collaborate on special projects and ad-hoc analyses requested by management.

Desired Skills & Competencies

• Master’s Degree or equivalent in Accounting, Finance, or a related field required
• Experience in internal audit, risk, or advisory roles (including SOX/internal controls) within financial organizations; knowledge of IIA Professional Practices and Standards; demonstrated team management experience.
• Experience in compliance, enterprise/operational risk, and control/operations/audit in the financial services industry preferred. Strong understanding of Asset Management products and clients is a plus.
• Proficiency in Microsoft Office with a strong emphasis on PowerPoint and Excel
• Experience with Governance, Risk & Compliance technology tools (e.g., AuditBoard), and reporting/analytics tools (e.g., Power BI, Tableau) is a plus.
• Strong technical and analytical skills

Soft Skills

• Ability to take initiatives and collaborate with multiple teams.
• Excellent verbal and written communication, collaboration, and presentation skills.
• Strong diligence, integrity, and professionalism.
• Values and promotes diversity in the team.
• Proven ability to perform under pressure and manage competing priorities.
• Fluency in English (verbal and written) is a compulsory requirement.
• Demonstrated ability to maintain a high degree of confidentiality in a variety of sensitive settings.