Prudential Process Management India Private Limited
  • Mumbai
  • Confidential
  • 3-5 years
  • 24 Mar 2015

  • Finance & Admin

  • KPO/ Analytics, Financial Services/ Capital Markets
Job Description

*        Participate in the delivery of the annual testing of key processes and controls within the scope of Sarbanes-Oxley Section 404 (s404) testing programme with responsibility for testing in certain areas of business.


*        This role is likely to involve considerable travel


Sox Responsibilities

*        To support the annual s404 compliance activity and the delivery of an accurate CFO and CEO s404 attestation

*        Agree the scope of the annual SOX 404 Internal Testing Programme with the SOX Controller

*        Participate in the execution of the annual SOX 404 Internal Testing Programme.

*        Review test results and manage, to resolution, issues arising from the annual SOX 404 Internal Testing Programme.

*        Provide an opinion to senior management on the adequacy of its controls over financial reporting for SOX 404 Compliance.

*        Liaise with the SOX Controller and other PRU business units and external auditors (KPMG) as necessary.

*        Support the process to ensure sign off of the CFO and CEO.

*        To lead and participate in the preparation and execution of SOX testing fieldwork within business areas

*        Ensure succinct testing reports are provided for the processes outlined above, communicating the results in clear & concise manner, identifying the salient points and any issues which require further investigation

*        Manage the resolution of process/control  issues, ensuring the accurate and timely identification of any issues which require escalation

*        Contribute to debriefs with key senior internal personnel in order to communicate and appraise the results of SOX testing, advising on the process for remediating any control failures

*        Support the objective of establishing a centre of excellence for Sarbanes-Oxley Section 404 testing.

*        To lead or participate in the annual SOX Documentation exercise, identifying process and control books which require updating and co-ordinating the process for their amendment with the relevant SOX Coordinators across the business

*        Identify and escalate any control issues to the Testing  Manager and support the Testing Manager in all aspects of the annual SOX regime

*        Deliver on other projects as identified and assigned by management.

*        Coordinate and support the Senior Accounting Officer testing across identified BU's


Competencies/Skill sets for this job

SOX 'Process SOX' Sarbanes-oxley Sox Testing

Job Posted By

Aanchal Bhatia
Manager - Talent Acquisition