SOX Compliance & ITGC Controls/tester - Senior Analyst

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.

Broadridge Financial Solutions is a global fintech leader providing communications, technology, data, and analytics solutions to the financial services industry. At Broadridge, we enable businesses and financial institutions to operate more efficiently, securely, and effectively through innovative technology and industry expertise.

Join a global organization where you can work with diverse teams, collaborate with business and technology stakeholders, and contribute to processes that support a leading financial services technology platform.

Broadridge Financial Solutions is seeking a motivated and detail-oriented Senior Financial Analyst – SOX Compliance & ITGC Controls to join its Controllership function.

This role supports the end-to-end Sarbanes-Oxley (SOX) compliance program, with a primary focus on Information Technology General Controls (ITGC).

The successful candidate will have experience with SOX scoping, control testing, issue identification, remediation tracking, and management reporting. The role will also partner with the SOX Program Leader to support program redesign initiatives, including the implementation of an automated SOX solution.

• Support the end-to-end SOX compliance program, including scoping, testing, issue identification, remediation, and management reporting.
• Assess ITGC scope by identifying in-scope applications, systems, and key areas of focus.
• Test internal controls over financial reporting to ensure compliance with SOX requirements, regulatory standards, and company policies.
• Maintain complete and accurate testing documentation, including work papers, supporting evidence, test results, and findings.
• Identify control deficiencies and gaps, assess their impact on financial reporting and compliance, and recommend practical improvements.
• Monitor remediation activities and track progress toward closure of identified control deficiencies.
• Ensure testing activities align with the overall SOX testing calendar and manage deliverables within established timelines.

• Test controls related to user provisioning and deprovisioning.
• Evaluate privileged access management, password and authentication policies, including multi-factor authentication (MFA), periodic access reviews, and segregation of duties.

• Evaluate formal change-request processes, appropriate segregation between developers and approvers, and testing and approval requirements before deployment.

• Assess secure design and development practices, quality assurance and testing processes, and data-conversion controls.

• Test controls related to job scheduling and monitoring, incident and problem management, backup and recovery, batch processing, and interface controls.

• Partner with internal auditors, business process owners, management, and cross-functional teams to obtain evidence and support control testing.
• Work closely with management and relevant teams to facilitate timely remediation of control deficiencies and weaknesses.
• Communicate testing results, findings, and recommendations clearly to management and other stakeholders.
• Assist with reports and presentations for management, the Audit Committee, and external auditors on the status of SOX compliance efforts.
• Support external audit readiness by providing required testing documentation and supporting evidence.
• Collaborate with the SOX PMO team to help ensure that required controls and processes are in place.
• Assist in developing and maintaining SOX-related policies, procedures, documentation, and training materials.
• Participate in the design and implementation of an automated SOX solution in collaboration with Internal Audit, External Audit, and other key stakeholders.
• Stay informed of regulatory changes, SOX compliance best practices, and industry standards to strengthen testing methodologies and ongoing compliance.

• Chartered Accountant, Semi-Qualified CA, MBA, or Engineer from a reputed institute.
• Approximately 6–10 years of post-qualification work experience.
• Experience in ITGC and SOX controls testing is preferred.
• Strong understanding of ITGC domains, including:Access to programs and dataProgram change managementProgram developmentComputer operations
• Demonstrated proficiency in testing internal controls over financial reporting.
• Knowledge of SOX requirements, internal control frameworks, US GAAP, SOX 404, and SEC financial reporting standards.
• Experience in an MNC, IT, or BPO environment is an advantage.
• Understanding of IT processes and the ability to translate business requirements into system solutions.
• Experience with business-process automation and workflow tools is a plus.

• Strong verbal and written communication skills, with the ability to challenge and influence stakeholders effectively.
• Strong analytical and problem-solving skills, with exceptional attention to detail.
• Proven ability to deliver high-quality work with productivity and efficiency.
• Ability to build collaborative relationships, foster teamwork, and earn the confidence and trust of stakeholders.
• Flexible and able to make sound, situation-based decisions relating to processes and people.
• Goal-oriented, strategic, and able to identify creative solutions.
• Self-motivated, organized, and able to work independently.