SOX Compliance Manager

Overview

Manage the day-to-day execution and delivery of Rio Tinto's global Sarbanes-Oxley (SOX) compliance programme, leading internal SOX testing teams and coordinating with external service providers, KPMG, Finance, Technology and control owners across the SOX testing lifecycle.

What you'll do

• Lead, coach and support internal SOX testing teams and external service providers to ensure high-quality and timely delivery.
• Manage day-to-day team activities, workload, priorities and resource allocation across the SOX testing lifecycle.
• Set clear expectations for testing quality, documentation, accountability and timely completion of assigned activities.
• Review team performance, provide regular feedback and support technical development and continuous learning.
• Promote collaboration and consistent ways of working across internal teams, Protiviti and Regional SOX Compliance Managers.
• Champion Rio Tinto's values, employee wellbeing and expected standards of conduct.
• Manage the execution of the global SOX programme in line with the approved scope, methodology and annual plan.
• Lead planning and delivery across design, interim, update, year-end and remediation testing phases.
• Develop and maintain testing schedules, milestones, resource plans and deliverables.
• Coordinate closely with Regional SOX Compliance Managers, internal testing teams and external service providers to ensure consistent delivery.
• Monitor testing progress, identify delays or dependencies and take timely action to resolve operational challenges.
• Provide regular programme status updates highlighting key achievements, outstanding activities, risks and matters requiring escalation.
• Prepare the annual SOX scoping and risk assessment by coordinating required information, analysis and documentation.
• Review control coverage and identify potential gaps, duplication or controls that may not adequately address the relevant risks of material misstatement.
• Provide recommendations for control rationalisation, standardisation and improvements based on testing outcomes and practical experience.
• Ensure Risk and Control Matrices, control descriptions, process documentation and ownership details are accurate and maintained in the GRC platform.
• Oversee walkthroughs, design effectiveness and operating effectiveness testing across the agreed SOX scope.
• Review testing workpapers, supporting evidence and conclusions to ensure compliance with the SOX methodology and quality expectations.
• Coordinate with KPMG and internal testing teams to align sample requirements, minimise duplicate requests and reduce the workload on control owners.
• Coordinate periodic control design certifications and follow up with control owners to ensure timely completion.
• Manage the tracking and assessment of control deficiencies, including root-cause analysis, impact assessments and proposed remediation.
• Work with control owners and Regional SOX Compliance Managers to agree practical remediation plans, responsibilities and target dates.
• Monitor remediation progress, follow up on overdue actions and coordinate remediation testing before recommending closure.
• Function as the primary operational contact for KPMG on SOX testing, sample selection, evidence requests, findings and outstanding actions.
• Manage the preparation and tracking of PBC requests, ensuring timely responses and appropriate supporting documentation.
• Identify and implement opportunities to improve testing efficiency, documentation quality and consistency across the SOX programme.
• Support control standardisation, rationalisation and automation initiatives in line with the SOX improvement strategy.
• Identify opportunities to use data analytics, automated testing and Continuous Control Monitoring to improve assurance activities.
• Coordinate and deliver periodic SOX training and communications to control owners, operators and relevant stakeholders.
• Maintain accurate and up-to-date programme trackers, testing results, deficiency records and remediation status within the GRC platform.
• Prepare regular SOX delivery reports, dashboards and status updates for the SOX Director and relevant stakeholders.
• Monitor delivery against agreed plans, timelines and resource requirements, identifying capacity constraints early.
• Monitor external provider deliverables, quality and performance against agreed expectations.

What you'll need

• Bachelor's or master's degree in accounting, finance, business administration or a related discipline.
• 10+ years of recent and relevant experience in PCAOB and SOX external audits, ideally at Manager level or above within a Big Four firm or an equivalent role.
• Strong practical knowledge of PCAOB auditing standards, SOX requirements and internal controls over financial reporting, including risk assessments, control design, testing, deficiency evaluation and remediation.
• Demonstrated experience managing SOX testing activities, including walkthroughs, design and operating effectiveness testing, evidence review, documentation and quality assurance.
• Experience collaborating directly with external auditors on risk assessments, testing approaches, sample selection, audit evidence, control deficiencies and remediation.
• Strong understanding of financial reporting processes, business-process controls, IT general controls and the dependencies between business and technology controls.
• Experience coordinating SOX activities across multiple business units, functions or locations, preferably within a large or multinational organisation.
• Practical experience in assessing control deficiencies, supporting root-cause analysis, developing remediation plans and monitoring actions through to closure.
• Experience providing independent Second Line of Defence (2LoD) oversight and constructive challenge to control owners and business stakeholders.
• Working knowledge of GRC platforms, ERP systems and SOX documentation and testing tools.
• Experience supporting control standardisation, process improvements, automation and other initiatives to improve SOX delivery efficiency.
• Strong stakeholder management and communication skills, with the ability to coordinate effectively with Finance, Technology, control owners, external auditors and service providers.
• Demonstrated experience managing, coaching and reviewing the work of internal or external testing teams, including planning, resource allocation and performance monitoring.
• Strong analytical skills, attention to detail, professional judgement, and the ability to manage competing priorities and deliver quality outcomes within agreed timelines.
• Good written and verbal communication skills, including the ability to prepare clear testing conclusions, deficiency assessments, management updates and supporting documentation.

Nice to have

• CA, CPA, or an equivalent professional qualification is preferred.
• CISA or other relevant qualifications are desirable.
• Experience with data analytics and automated testing is desirable.

Details

• Location: India (Gurgaon).
• Reports directly to the SOX Director.