SOX Compliance & ITGC Controlstester Senior Analyst

At Broadridge weve built a culture where the highest goal is to empower others to accomplish more. If youre 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.

Access to Programs and Data

• 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.

Program Change Management

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

Program Development (SDLC)

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

Computer Operations

• 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 610 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.

• Global Fintech Exposure: Work with a leading organization at the intersection of financial services and technology.
• Meaningful Impact: Contribute to SOX compliance ITGC controls risk management and financial reporting processes.
• Cross-Functional Collaboration: Partner with Internal Audit External Audit Technology business process owners management and SOX teams.
• Innovation & Automation: Participate in the design and implementation of an automated SOX solution.
• Career Growth: Build deeper expertise across SOX ITGC internal controls financial reporting and technology processes.
• Inclusive Culture: Work in a collaborative environment that values diverse perspectives teamwork innovation and continuous learning.
• Global Opportunities: Gain exposure to global processes stakeholders regulatory requirements and industry best practices.

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 companyand ultimately a communitythat recognizes and celebrates everyones 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.