SME - Controls And Compliance

Job Description

The SME will support in design, governance, and continuous improvement of the internal controls framework across global finance processes, including P2P, O2C, and R2R (Operations). This role is accountable for driving SOX compliance maturity, ensuring strong risk management practices, enhancing policy governance, and strengthening the organization’s readiness for internal and external audits.

The SME will supervise Compliance Sr. analysts and collaborate closely with Operations, and auditors to ensure a robust control environment and proactive issue remediation

Key Responsibilities

SOX Compliance & Process Controls Leadership

• Support end‑to‑end design, implementation, and governance of internal controls for P2P, O2C, R2R, and other in‑scope financial processes
• Oversee SOX compliance activities, including control documentation, walkthroughs, design assessments, testing support, and remediation tracking
• Ensure all SOX controls are effectively operating, sustainable, and embedded in business practices
• Drive continuous control improvements by identifying gaps, implementing preventive/detective controls, and addressing systemic issues across processes
• Provide guidance to process owners on control requirements, control design adequacy, and evaluation of control failures

Risk Management & Controls Assurance

• Lead periodic risk assessments across finance functions to identify emerging risks, process vulnerabilities, and control design weaknesses
• Develop and monitor mitigation plans, corrective actions, and preventive measures integrated into the SOX/ICOFR framework
• Review key risk indicators, perform trend analysis on recurring issues, and recommend strategic improvements to leadership
• Ensure risks are appropriately escalated with visibility to senior management

Policy Governance & Regulatory Compliance

• Develop, enhance, and enforce internal policies, standards, and procedures aligned with SOX, ICOFR, and relevant regulatory frameworks
• Provide oversight of global compliance procedures to ensure uniform adoption and adherence across regions
• Lead periodic policy refresh cycles and ensure documentation reflects evolving regulations and business changes
• Act as subject-matter expert for regulatory requirements in internal controls & financial reporting

Training, Capability Building & Stakeholder Engagement

• Create and deliver structured training programs for global finance teams on SOX controls, IPE standards, documentation expectations, and compliance awareness
• Enable process owners by conducting workshops, deep‑dives, and refresher sessions on key compliance topics
• Build a strong compliance culture by ensuring teams understand roles, responsibilities, and consequences of non‑compliance
• Mentor and coach junior team members to build internal control expertise within the team

Audit Co-ordination (Internal & External)

• Oversee the organization’s readiness for internal audits, external audits, and SOX testing cycles
• Act as the primary liaison for auditors, ensuring timely responses, complete documentation, evidence sufficiency, and closure of audit requests
• Review audit observations and ensure accountability for remediation within committed timelines
• Provide leadership with consolidated audit insights, themes, root causes, and corrective action effectiveness

Compliance Monitoring, Reporting & Governance

• Establish and operate monitoring mechanisms to ensure continuous compliance with policies, control frameworks, and regulatory expectations
• Lead periodic compliance reviews, quality checks, and control health checks across finance processes
• Prepare leadership dashboards, status reports, heatmaps, and executive summaries on SOX readiness, control failures, and remediation progress
• Present insights, trends, and improvement recommendations to senior leadership and governance forums

Quality Assurance & Continuous Improvement

• Champion quality standards for control documentation, IPE compliance, independent support, reconciliations, and control execution
• Lead initiatives to streamline processes, remove inefficiencies, and increase automation in control activities
• Drive alignment with leading practices in internal controls and financial reporting

• Bachelor’s or Master’s in Finance, Accounting, Business, or related field

• CA / CPA / CIA / CISA/ CMA preferred

• 3–5+ years of experience in SOX, internal controls, audit, or compliance roles

• Strong understanding of end‑to‑end finance processes and internal control frameworks

• Experience working with auditors, control owners, and cross‑functional global teams

• Strong analytical, communication, leadership, and stakeholder‑management skills

Skills and Competencies:

• Highly motivated individual who is willing to take initiatives to enhance the internal control framework
• Understanding on developing PowerBI visualization will make an edge
• Strong analytical skills to assess compliance and quality issues
• Effective problem-solving abilities to address and mitigate risks
• Excellent verbal and written communication skills
• Ability to convey complex compliance and quality concepts clearly to various stakeholders
• Keen eye for detail to identify potential compliance and quality issues
• Ensure accuracy in documentation and reporting
• Familiarity with compliance and quality management software
• Understanding of industry-specific regulations and standards
• Ensure that compliance and quality initiatives align with customer expectations
• Strive to enhance stakeholder satisfaction through quality improvements
• Ability to adapt to changing regulations and industry standards
• Stay updated on the latest compliance and quality trends and best practices
  
  

Our Benefits

• Flexible working environment
• Volunteer time off
• LinkedIn Learning
• Employee-Assistance-Program (EAP)

NIQ may utilize artificial intelligence (AI) tools at various stages of the recruitment process, including résumé screening, candidate assessments, interview scheduling, job matching, communication support, and certain administrative tasks that help streamline workflows. These tools are intended to improve efficiency and support fair and consistent evaluation based on job-related criteria. All use of AI is governed by NIQ’s principles of fairness, transparency, human oversight, and inclusion. Final hiring decisions are made exclusively by humans. NIQ regularly reviews its AI tools to help mitigate bias and ensure compliance with applicable laws and regulations. If you have questions, require accommodations, or wish to request human review were permitted by law, please contact your local HR representative. For more information, please visit NIQ’s AI Safety Policies and Guiding Principles: https://www.nielseniq.com/global/en/ai-safety-policies.

About NIQ

NIQ is the world’s leading consumer intelligence company, delivering the most complete understanding of consumer buying behavior and revealing new pathways to growth. In 2023, NIQ combined with GfK, bringing together the two industry leaders with unparalleled global reach. With a holistic retail read and the most comprehensive consumer insights—delivered with advanced analytics through state-of-the-art platforms—NIQ delivers the Full View™. NIQ is an Advent International portfolio company with operations in 100+ markets, covering more than 90% of the world’s population.

For more information, visit NIQ.com

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Our commitment to Diversity, Equity, and Inclusion

At NIQ, we are steadfast in our commitment to fostering an inclusive workplace that mirrors the rich diversity of the communities and markets we serve. We believe that embracing a wide range of perspectives drives innovation and excellence. All employment decisions at NIQ are made without regard to race, color, religion, sex (including pregnancy, sexual orientation, or gender identity), national origin, age, disability, genetic information, marital status, veteran status, or any other characteristic protected by applicable laws. We invite individuals who share our dedication to inclusivity and equity to join us in making a meaningful impact. To learn more about our ongoing efforts in diversity and inclusion, please visit the https://nielseniq.com/global/en/news-center/diversity-inclusion