SOX - Senior Specialist
Bangalore, India
1d ago

Job Description : ROLE PROFILE


Senior SOX Subject Matter Expert

Regional CAS Manager

DBS Governance & Controls Team

Context / Scope :

Diageo’s Business Shared Services aim to leverage the Finance Operating Model by supporting standard processes and systems with effective and efficient shared services across Diageo Finance and other service lines, provided by internal services regionally.

Business services providing various services from back office transactional processing to statutory reporting activities.

It also encompasses a significant part of the group’s Financial Planning and Reporting activities and Treasury activities.

DBS is increasingly playing a central role in governance and compliance for Diageo and has been charged by the CFO to be Diageo’s control exemplar accountable for the execution of control in shared services including SOX compliance, irrespective of whether delivered from Budapest or the regional Shared Services.

As new strategic pillar of the Diageo SOX agenda Control Assurance (CAS) is provided as a service by DBS to the Diageo markets / regions following the current regional organisational set up.

Senior SOX Subject Matter Expert role is to ensure Sarbanes-Oxley s404 compliance within the global Diageo SOX framework.

The overall purpose of the role is to provide central risk management, control oversight and SOX governance over DBS Enterprise Operations (Budapest or regions), over markets as part of CAS, support the Management in setting up the CAS agenda, delivering best-in-class control environment in DBS and the markets in CAS scope, increase control and compliance awareness and coordinate / ensure smooth delivery of internal control procedures.

Main responsibilities of the role are :

Leadership :

  • Lead the Control & Audit compliance agenda across DBS or Markets (as part of CAS)
  • Coach and coordinate of SOX Subject Matter Experts; sets priorities, delegate tasks and monitor progress against deadlines and plans
  • Support the management in delivering best-in-class control environment, increase control and compliance awareness and coordinate internal and external audits
  • Proactively support the Junior Manager in the reporting period with overall messages and statistics generation, consolidate results, prepare draft reporting, collect oversights within the team
  • Support Diageo projects, migrations, outsourcing, organisational changes, provide SOX expertise
  • Actively contribute to the implementation of DBS Governance & Controls strategy primarily in his / her area
  • Communication :

  • Single point of contact for DBS processes, markets, and Global Risk and Compliance team, as appropriate, using the most suitable communication channel and escalation route
  • Timely and effective communication of the key SOX messages and results to the relevant internal and external stakeholders
  • Market Complexity

    This role is required to collaborate closely with stakeholders at various seniority levels across DBS organisation, Markets and Group Functions and stakeholders outside DBS such as Global Risk & Compliance team or internal & external auditors.

    Leadership and Functional Responsibilities and Capabilities

    Leadership :

    Relationship building (business partnering)

    Build good relationship with colleagues and stakeholders by helping people feel appreciated and included. Take time out to identify key networks and start to build on these relationships.

    Anticipate stakeholder needs based upon current, past experience and understand priorities. Reinforce stakeholder focus within own area.


    Summarize the fact and deliver the message using different communication styles according to the audience. Aware of impact the leader has on others.

    Push forward own ideas about improvements to current approaches; speak up to check understanding.


    Know how to make things happen in immediate environment by using formal and informal channels. Challenge assumptions behind current ways of operating.

    Consider issues from alternative perspectives.

    Problem solving / coordination

    Identify root cause of issue and potential solutions involving all impacted parties. Evaluate each solution and implement corrective action within own area of responsibility.

    Progress and review outcome.

    Deliver on promises

    Lead by example on delivering results, ensure operational standards are met within his / her immediate responsibility.

    Functional :

    Accounting Principles

    Understand accounting principles, accounting policies and standards and how they can be applied to optimise performance and control risk.

    Has a strong understanding of more complex areas of accounting.

    Managing Risks

    Actively search for risks using internal and external data sources, monitor predictive indicators within and outside of own function.

    Monitor and ensure mitigation plans are deployed. Use judgement and intervene to ensure course correction. Spot interdependencies and concentration of risks.

    Internal Controls

    Recognise opportunities to design and implement control processes into new systems or work processes. Provide guidance and interpret key control documents and deliver independent and unbiased advice.

    Take the lead in forming solid local control environments, ensuring that robust processes are in place to capture, report on & resolve weaknesses.

    Role model high ethical standards and coach others on control concepts and ethical standards and implications for finance and business communities.

    Analytical thinking

    Analyse available information and trends and act accordingly. Ability to analyse measures, identify issues and detect interdependencies with other sub-functional areas.

    Make suggestions on actions to improve performance.

    Top Accountabilities

    Support and hold to account the DBS, markets and Group Functions to achieve timely and flawless delivery of Control Assurance and Risk Management procedures.

    Ensure aligned and streamlined SOX methodology / communications structure / market reporting across DBS, markets and Group Functions are embedded to achieve more timely and insightful controls & compliance information for stakeholders.

    Support new migration pipeline into DBS, markets and Group Functions from a controls & compliance perspective

    Coach and coordinate of SOX Subject Matter Experts; sets priorities, delegate tasks and monitor progress against deadlines and plans

    Support the DBS compliance and ethics agenda to ensure exemplary behaviours and compliance across the business with global policies and guidelines.

    Skills, qualifications and experience required

  • University / College degree in accountancy / finance / business
  • Excellent English knowledge
  • 3 4 years audit (internal / external) and / or SOX experience which can be replaced by thorough shared service process understanding, financial controller background
  • Strong knowledge of MS Office (Outlook, Excel, PowerPoint)
  • Exposure to some of the following areas could be an advantage :
  • Process improvement
  • Project management
  • Business consulting
  • Risk assessment
  • IFRS
  • Barriers to Success in Role

  • Poor English knowledge
  • Lack of risk mind-set
  • Lack of ability to communicate and co-ordinate with different stakeholders in an effective way
  • Lack of ability on prioritisation, urgency and problem solving
  • Flexible Working Options, Travel Requirements

    Worker Type : Regular


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