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Lead Associate

Date: May 27, 2021

Location: Bangalore, KA, IN

Company: SLK Software

Role Overview

The SOX associate assists the team lead in supporting and defining the control objectives and monitoring compliance efforts. The associate will review and perform testing, findings within the Internal/External Audit Team, facilitate the remediation of control gaps, and escalate possible critical issues to the senior management of the company.

Profile Description


  • Applies analytical skills to review information, perform assessments of the audit results, and evaluate the adequacy of controls
  • Enhances the assessment process, including procedures and approaches
  • Document the test results and upload completed work papers and submit workpapers to the Company for L2 Reviews
  • Perform Test of Effectiveness (TOE) of Process SOX Controls, document the test results and upload completed work papers
  • Perform internal review by Supplier Team Lead (L1 Review) and Address and close the L1 comments
  • Identify exceptions if any during testing and communicate the same to FCR Managers/ Team Leads
  • Perform root cause analysis, document audit observations and design efficient and effective remediation plans
  • Work with finance and accounting team to ensure that audit findings are resolved timely. Proactively identify signs of possible internal control failures and work to ensure internal controls are always operating effectively
  • Identify and analysis control issues or changes in company process for potential implications.
  • Responsible for maintenance and quality reviews of key SOX documentation, i.e. Risk and Control Matrices and process flowcharts, and liaising with the relevant responsible teams to ensure alignment
  • Stay informed of changes in legislation, accounting literature and regulatory guidance which impact SOX compliances requirement.

Desired Experience and Skillset

  • Having 2-5 years of relevant experience holding CA/CFEs, CIAs, or CISA plus degree is preferred
  • Risk consulting professional and proficient with the broad range of skills of work management and business development.
  • Providing value-based solutions and applying technical knowledge in delivery of complex solutions
  • The ability to challenge risks within complex business requirements and translate best industry processes and control environment
  • Performing process understanding based on which processes are documented in form of narratives and flowcharts.
  • Must have significant experience in conducting transaction / process walkthroughs and preparing the Risk Control Matrices.
  • Ability to engage with senior stakeholders and effective liaison
  • Good understanding of insurance accounting, understanding on basic too complex to technical


  • Ensure that all journal entries and adjustments are explained and documented.
  • Good proficient in the use of common business applications such as Excel, Word, Access, Outlook.


Key words/Skills

  • Control Testing (including Project Governance)
  • Perform Pre-Walkthrough Activities
  • Support FCR by Updating TOD Templates
  • Prepare Population Request
  • Select Samples and Request Supporting Documents
  • Perform Testing
  • Finalize Testing
  • Perform L1 review
  • Address L2 review Comments
  • Project Governance: Governance Calls, Dashboard Publication, EY Meetings, Monitoring Progress, etc.