Senior Financial Analyst - SOX Compliance and Controls

Senior Financial Analyst - SOX Compliance and Controls

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 (NYSE: BR) is a global Fintech leader with 55+ billion in revenue, helping clients transform their businesses through innovative communications, technology, data, and analytics solutions.

We partner with the world’s leading financial institutions, processing millions of trades daily involving trillions of dollars, delivering vital communications for over 5,000 brands, and managing shareholder voting in over 90 countries.

Job Description:

We are seeking a Senior Financial Analyst, Sarbanes-Oxley (SOX) Compliance and Controls to join our team within the broader Financial Solutions. Broadridge Financial Solutions, 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 leader with program redesign, including the implementation of an automated SOX solution.

What You’ll Do:

• Conduct detailed testing of internal controls over financial reporting (SOX) to ensure compliance with regulatory requirements and company policies.
• Manage and execute testing procedures to assess the effectiveness and efficiency of internal controls, ensuring they are operating as intended.
• Collaborate with key stakeholders, including internal auditors and business process owners, to obtain necessary evidence and support for control testing.
• Identify control deficiencies or gaps during testing and ensure they impact the organization’s financial reporting and compliance posture.
• Work closely with management and relevant teams to support the timely remediation of identified deficiencies or weaknesses.
• Provide detailed documentation of testing results, including work papers, testing evidence, and findings in accordance with SOX requirements.
• Communicate test results to management, providing clear recommendations for improvements or enhancements to internal controls.
• Monitor the status of remediation efforts for control deficiencies and track progress toward resolving outstanding issues.
• Assist in the preparation of reports and presentations for management, Audit Committee and external auditors on the status of SOX compliance efforts.
• Work closely with the SOX team to ensure that all necessary controls and processes are in place to meet regulatory requirements.
• Assist in the development and maintenance of documentation related to SOX compliance, including policies, procedures, and training programs.
• Participate in the design and implementation of an enhanced SOX solution, working with key stakeholders, including Internal and External Audit.
• Ensure proper alignment between control testing activities and the overall SOX testing calendar, managing timelines effectively.
• Stay up to date with evolving regulatory changes, SOX compliance best practices, and industry standards to ensure testing methodologies and assurance quality.
• Assist in the preparation for external audits, providing necessary testing documentation and supporting evidence as needed.
• Collaborate with cross-functional teams, including IT, finance, and legal departments, to ensure a holistic approach to SOX compliance and control testing.

Qualifications and Experience:

• Bachelors / MBA degree or related with 3 - 6 yrs of experience
• Experience in ITGC and SOX controls testing is desired
• Knowledge of Sarbanes-Oxley (SOX) requirements and internal control framework
• Knowledge of USGAAP preferred. Strong accounting background with theoretical and practical knowledge of US GAAP, SOX 404 and SEC financial reporting standards
• Working experience in MNC/IT/BPO environment an advantage
• Experience with a technology company is a plus
• Understanding of finance processes and ability to translate business requirements into system solutions
• Experience with business process automation and workflow tools is a plus

Personality Attributes:

• Strong interpersonal and communication skills – both verbal and written. Ability to effectively challenge and influence
• Consistently delivery of high levels of productivity, efficiency and quality
• Analytical bent of mind with an acute eye for detail
• Ability to develop strong, collaborative relationships, foster teamwork and gain the confidence and trust of others
• Flexible to adopt situation-based decisions for process and people as appropriate, should be goal oriented strategic thinker, with ability to identify creative solutions
• Self-motivated and able to work independently

We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates do their best when they feel safe, understood, and valued, and we work diligently and collaboratively to ensure Broadridge is a company—and ultimately a community—that recognizes and celebrates everyone’s unique perspective. 

Use of AI in Hiring 

As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency are critical to our hiring process. Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.

Experience Level

Senior Level