Internal Audit & SOX Compliance Role - Consulting Firm - CA

Qualification : CA- Chartered Accountant

Internal Audit Experience in Consulting Firm ( Majorly in TMT Sector )

Non Financial Service.

Internal Audit experience with manufacturing, Mining, telecom, Media, Technology sector.

Job Description:

1. Understanding of ICF (Internal control framework) modelled using COSO framework for each process like P2P, A2R, O2C, P&S etc. and documentation of RCM, SOPs and Test script for Controls Identify, assess and monitor risks by developing a risk management plan and strategy

2. Monitor engagements progress, manage risk, and verify key stakeholders are kept informed about progress and expected outcomes constantly.

(Internal Audit & SOX Compliance).

3. Documentation of Risk Control Matrix (RCM), SOPs and Test script for SOX Controls. Planning for test of controls & walkthroughs based on control frequency. Performing process level control Testing to check operating effectiveness of SOX controls along with appropriate documentation & planning remediation for deficiency found during testing.

4. Performing Process & control Walkthrough's to check design effectiveness in the process implemented for different regions. Follow-up's & continuous monitoring to remediate the issues.

5. Preparing flowchart for business processes. Understanding of control framework modelled using COSO. Supervising a team of SOX audit personnel and managing review & performance of audit procedures.

6. Documentation of Risk Control Matrix (RCM), SOPs and Test script for SOX Controls. Planning for test of controls & walkthroughs based on control frequency. Reviewing control process with control owners.

7. Communicating the results of assignments through written reports and oral presentations on a timely basis to manager & SOX Associate director. Follow-up for ICFR certifications with control owners.

8. Identify opportunities to improve business processes and assist clients in addressing compliance, financial, operational and strategic risk

9. Engage in conducting reviews of policy and procedures, systems, internal control, documentation of standard operating procedures, development of enterprise risk management framework, project risk management reviews, independent validations of time (scheduling),cost (budgets) and quantity (BOQ),reconciliations and theoretical co-efficient validations as per IS codes, revenue assurance, cost & working capital optimization, business plan and strategic advisory.

10. Research, compile and introduce leading practices in the industry(s) in terms of management style, processes, practices, tools, and technology.

11. Maintain internal quality guidelines for the engagement within the budgeted time.