Senior Auditor - SOX - CA

Qualification- Chartered Accountant

Purpose:

- Identify risks of various processes and controls devised to mitigate those risks , carry out testing of controls and propose action points in concurrence with Action plan owner within the IIA auditing standards , COSO/COBIT Framework, Regulatory and SEC reporting requirements with the objective of ensuring sustainable business processes and controls to mitigate risks related to operational, financial and compliance efficiency and effectiveness for audits / Sox reviews

Key Skills:

Oversight of S-OX documentation:

- For assigned Business Units, coordinate with the BU Controllers in documentation of processes as per S-OX requirements [namely Risk & Control Matrix (RCM) and Process Flow Diagrams (PFD) ] by way of reviewing and providing oversight In order to assist BU controllers in maintaining the S-OX documentation to reflect current business process.

Scoping of process:

- Along with Team Leader - SOX, prepare yearly management testing plan; identify Units / process having potential financial risks based on past performance; consider future business strategy; seek inputs from key managerial personnel In order to identify Units / process to be covered under S-OX testing plan for the year

Manage Assignments as per Plan:

- For assigned Business Units, monitor and participate in the preparation of testing plan and scope; schedule resources for assignment execution [in-house, consultants]; participate in opening and closing meetings for assignment execution In order to ensure assignments are executed on timely basis

Report Review:

- For assigned Business Units, participate in key meetings during execution of assignment; receive stock status of assignments on a regular basis during execution; review draft report prepared by the team; ensure coverage as per scope; review the working papers prepared by the team In order to ensure there are no unidentified Significant Deficiencies

Follow up of implementation of remidiation plan:

- Interact with S-OX coordinators and process owners for implementation of agreed upon action plans and recommendations and assist Group Leader - SOX to compile status for communicating to Senior Management on a periodic basis In order to ensure timely implementation of action plans and recommendations

Support Audit Committee (AC) Reporting:

- Review key issues to be presented to the Audit committee; review the status of open observations and status of assignments as per plan In order to Support the Group Leader - SOX in compilation and review of the Audit Committee presentation on a timely basis

Controllers Forum:

- Identify agenda, organize Controllers forum on a periodic basis; review of presentations made by controllers for controllers forum and performing analytics; communicating with controllers for necessary corrective action to the presentations; Ensure on the quality of analysis done by the Controllers and ensure implementation of action plans by way of continuous follow up In order to improve controllership and control environment in the company.

Learning and Knowledge sharing:

Diploma/Certification in IFRS and CSOE

- IFC compliance: Execute compliance testing over IFC requirements of Companies Act, and frame / revise Internal controls that include ICOFR (already covered in SOX) as well as operational controls. Ensure complete testing of Internal Financial controls and suggest timely remediation for any deviations noted. Assess the implication of un-remediated deviations into deficiency / significant deficiency / material weakness, as on reporting date, and highlight to the Audit Committee IN ORDER TO give assurance to Audit Committee over IFC compliance

Mandatory Skills :

- Risk-based audit plan, Process and Controls, Internal audit processes and system ERP system, Corporate Laws and regulations, Pharma Regulations Knowledge In IFRS and COSO framework - Interpersonal Skills - Networking and Influencing the stakeholders.