SOX Compliance & Internal Controls Specialist

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 Us:

Broadridge (NYSE: BR) is a global fintech leader with $9 billion in revenues, helping clients transform their businesses through innovative communications, technology, data, and analytics solutions.

We partner with the world’s leading financial institutions, processing millions of trades daily involving trillions of dollars, delivering vital communications for over 5,000 brands, and managing shareholder voting in over 90 countries.

Job Summary:

We are seeking a Senior Financial Analyst – SOX Compliance and Controls to join our Controllership function. In this role, you will have end‑to‑end exposure to the SOX program—from risk scoping through issue remediation and management reporting.

We are looking for a motivated, detail‑oriented, and collaborative professional with a strong accounting background and practical knowledge of SOX 404, SEC reporting standards, and US GAAP. The role will also involve supporting the redesign of the SOX program, including the implementation of an automated SOX solution.

Key Responsibilities

• Perform detailed testing of internal controls over financial reporting (SOX) to ensure compliance with regulations and company policies.
• Design and execute test procedures to evaluate the effectiveness of internal controls and identify potential gaps or deficiencies.
• Collaborate with internal auditors and process owners to obtain evidence, review testing results, and drive timely remediation of deficiencies.
• Develop and maintain detailed documentation of test work, findings, and recommendations in line with SOX standards.
• Prepare reports and presentations for management, the Audit Committee, and external auditors on SOX compliance status.
• Partner with cross‑functional teams (Finance, IT, Internal Audit, Legal) to ensure proper alignment on compliance activities.
• Assist in developing policies, procedures, and training programs related to SOX compliance.
• Support the rollout and adoption of process automation and workflow tools for SOX program management.
• Stay updated on regulatory changes and industry best practices to strengthen compliance methodologies.

Qualifications & Experience

• Chartered Accountant / Semi‑Qualified CA with 6–10 years of post‑qualification experience.
• Strong background in SOX controls testing, ITGCs, and internal controls framework.
• Knowledge of US GAAP and SEC reporting requirements preferred.
• Prior experience in an MNC, IT, BPO, or technology company is an advantage.
• Exposure to finance process automation and workflow tools desirable.

Personality Attributes

• Strong interpersonal and communication skills, with an ability to influence and challenge constructively.
• High attention to detail with a strong sense of accountability and integrity.
• Analytical mindset with the ability to evaluate risks and propose creative solutions.
• Self‑motivated, proactive, and able to work independently while collaborating effectively in teams.
• Goal‑oriented, adaptable, and capable of managing multiple priorities.

Why Join Broadridge:

• Be part of a Fortune 500 FinTech leader driving innovation in governance, risk, and compliance.
• Opportunity to work on a global SOX compliance program, including automation and process redesign.
• Gain exposure to cross‑functional teams (Finance, IT, Audit, Legal) and broaden your domain expertise.
• A culture that values collaboration, flexibility, and employee well‑being—we invest in your growth and work‑life balance.

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.