SOX Compliance & ITGC Controls/tester - Senior Analyst

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.

About Broadridge:

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.

Position Summary:

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.

Key Responsibilities:

SOX Program

• 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.

ITGC Testing

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.

Stakeholder Management and Reporting

• 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.

Qualifications & Experience

• Chartered Accountant, Semi-Qualified CA, MBA, or Engineer from a reputed institute.
• Approximately 6–10 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.

Skills & Competencies

• 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.

Why Join Broadridge?

• 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 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.