Broadridge
Senior Financial Analyst - SOX Compliance and Controls (Hybrid)
Broadridge, Newark, New Jersey, us, 07175
At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team.We are seeking a Senior Financial Analyst, Sarbanes-Oxley (SOX) Compliance and Controls to join our team within the controllership function of Broadridge Financial Solutions, reporting to the Senior Director, SOX Compliance and Controls. Broadridge is looking for an associate that can participate in the entire SOX program, from scoping through issue remediation and management reporting. We are seeking a motivated, inquisitive and energetic individual with a passion for driving improvement. In addition, strong organizational skills and attention to detail. This individual will support the SOX Program Management Office (SOX PMO) with program redesign, including the implementation of an automated SOX solution.We are made up of high performing teams that meet in person to learn and collaborate as needed. This role is considered hybrid, which means you’ll be assigned to a Broadridge office and given the flexibility to work from home.Responsibilities:
Assist in the preparation of reports and presentations for management, Audit Committee and external auditors on the status of SOX compliance effortsWork closely with the SOX PMO team to ensure that all necessary controls and processes are in place to meet regulatory requirementsAssist in the development and maintenance of documentation related to SOX compliance, including policies, procedures, and training programsPartner with team members to enhance the current scoping and risk assessment processesParticipate in the design and implementation of an automated SOX solution, working with key stakeholders, including Internal and External AuditMaintain the integrity of the SOX control inventory, including frequency of control activity and adherence to minimum sample sizesAssist in the implementation of data life cycle and other process controls as required by the Company’s Digital Transformation programWork with stakeholders to identify root cause and design issue remediation processes to ensure that the underlying risk to the organization is managedCoordinate with various departments to gather information and evidence needed for SOX compliance audits; act as a liaison for internal and external audit data requests and track outstanding itemsTrack control deficiencies and proposed remediation actions through completionUtilize negotiation and influencing skills to align interests of various stakeholdersQualifications:
Minimum of a Bachelor's Degree in Accounting or other related field (e.g., Finance, Audit, Information Security)3+ years of related experience with public accounting or internal auditing experience preferableKnowledge of Sarbanes-Oxley Act (SOX) requirements and internal control frameworks (e.g., COSO, Cobit)Experience with a technology company is a plusExperience in ITGC and SOX key controls is a plusStrong collaboration and communication skills, with the ability to work in a team dynamic across multiple functionsWith the help of your supervisor, maintain agility to balance competing, changing and sometimes conflicting prioritiesCreative, original thinkerExperience with business process automation and workflow tools is a plus
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Assist in the preparation of reports and presentations for management, Audit Committee and external auditors on the status of SOX compliance effortsWork closely with the SOX PMO team to ensure that all necessary controls and processes are in place to meet regulatory requirementsAssist in the development and maintenance of documentation related to SOX compliance, including policies, procedures, and training programsPartner with team members to enhance the current scoping and risk assessment processesParticipate in the design and implementation of an automated SOX solution, working with key stakeholders, including Internal and External AuditMaintain the integrity of the SOX control inventory, including frequency of control activity and adherence to minimum sample sizesAssist in the implementation of data life cycle and other process controls as required by the Company’s Digital Transformation programWork with stakeholders to identify root cause and design issue remediation processes to ensure that the underlying risk to the organization is managedCoordinate with various departments to gather information and evidence needed for SOX compliance audits; act as a liaison for internal and external audit data requests and track outstanding itemsTrack control deficiencies and proposed remediation actions through completionUtilize negotiation and influencing skills to align interests of various stakeholdersQualifications:
Minimum of a Bachelor's Degree in Accounting or other related field (e.g., Finance, Audit, Information Security)3+ years of related experience with public accounting or internal auditing experience preferableKnowledge of Sarbanes-Oxley Act (SOX) requirements and internal control frameworks (e.g., COSO, Cobit)Experience with a technology company is a plusExperience in ITGC and SOX key controls is a plusStrong collaboration and communication skills, with the ability to work in a team dynamic across multiple functionsWith the help of your supervisor, maintain agility to balance competing, changing and sometimes conflicting prioritiesCreative, original thinkerExperience with business process automation and workflow tools is a plus
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