Compliance Officer

Job title Sox Compliance Officer

Reporting to Potentiam company background (The Employer) Potentiam is a global provider of highly qualified professionals to European SMEs from our offices in Romania, South Africa and India. Potentiam works with clients in finance, energy, leisure, marketing, business services and technology industries, providing technical, professional multi- lingual highly motivated staff, most of whom have had experience of working for international companies. Staff cover a wide range of roles from accounting, marketing, data management, HR, sales/account management, engineering, technology, and operations. Potentiam manages our staff’s career development and personal development training, all infrastructure, HR and payroll with our clients directly managing day-to-day staff responsibilities and role training and development. Company website - https://potentiam.co.uk/

Potentiam’s client: It is a leading provider of independent medical examinations, peer reviews, bill reviews, Medicare compliance, record retrieval, document management and related services. It provide IME services through their medical panel of credentialed physicians and allied medical professionals. Their independent medical review process is fully contained within their private cloud network. Custom portals, applications, workflow enhancements and systems integration are part and parcel of their service. Their clients include property and casualty insurance carriers, law firms, third-party claim administrators and government agencies that use independent services to confirm the veracity of claims by sick or injured individuals under automotive, disability, liability and workers' compensation insurance coverages. They help clients in the U.S., Canada, the United Kingdom and Australia manage costs and enhance their risk management processes by verifying the validity of claims, identifying fraud and providing fast, efficient and quality IME services.

Industry: legal, insurance, and healthcare services.

Purpose of role:

We are seeking a Compliance Officer to join our compliance team. This role is responsible for auditing IT control activities, ensuring adherence to Sarbanes Oxley (SOx) requirements, and maintaining governance standards. The ideal candidate will work closely with external auditors, perform Entity-Level Controls (ELCs), and document narratives, processes, and procedures in a fast paced environment. Potentiam | Job Specification 2 of 2

Duties and responsibilities: Compliance & Audit Activities • Audit IT control operations performed by IT Controls Analysts to ensure compliance with SOx requirements. • Perform walkthroughs and testing of ITGCs and ELCs to validate control design and operating effectiveness. • Develop, maintain, and update SOx narratives, process flows, and control documentation. • Coordinate and liaise with external auditors during SOx audits and provide requested evidence. • Identify control gaps and recommend remediation plans in collaboration with stakeholders. • Experience with ISO 27001 and NIST CSF, including understanding of information security controls, risk management, control assessments, compliance requirements, and security governance practices. • Familiarity with Cyber Essentials Plus (CE+) and related security/compliance requirements, along with knowledge or experience using Vanta or similar GRC/compliance management platforms, is a strong plus. Governance & Reporting • Prepare compliance reports and dashboards for management review. • Ensure timely completion of SOx testing cycles and documentation updates. • Support risk assessments and contribute to strengthening the overall control environment. Collaboration & Communication • Work closely with IT, Finance, and Compliance teams to align SOx requirements with business processes. • Act as a point of contact for external auditors and internal stakeholders. • Provide training and guidance on SOx compliance and control documentation standards.

Skills/Experience • Experience in SOx compliance, auditing, and governance processes. • Strong knowledge of Entity-Level Controls (ELCs), ITGCs, and SOx documentation standards. • Experience with ISO 27001 and NIST CSF, including security controls, risk assessment, and compliance. • Familiarity with CE+ and Vanta or similar GRC/compliance platforms is a strong plus. • Ability to create and maintain narratives, process flows, and control matrices. • Excellent communication and stakeholder management skills. • Detail-oriented with strong analytical and problem-solving capabilities. Why Join Us? • Opportunity to play a critical role in compliance and governance initiatives. • Collaborative team environment with exposure to senior leadership and external auditors. • Professional growth in a dynamic, fast-paced environment.

Additional benefits • Health Insurance • Referral Bonus • Performance Bonus • Flexible Working options

Location and hours Bangalore Office / UK hours

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Intern – Compliance & Regulations

Function: Compliance / RegTech / FinTech

Company: AXS Solutions and Consulting Pvt. Ltd.

Location: Mumbai

Duration: 6 months Internship.

Role Overview

AXS Solutions is looking for a Compliance & Regulations Interns to work with our product, business and technology teams on our FinTech, RegTech and AI-powered enterprise solutions.

The role is ideal for candidates interested in the intersection of regulations, technology, financial services and artificial intelligence.

Key Responsibilities

- Research and track regulatory developments relevant to FinTech, Banking, Payments, Wealth Management, RegTech and AI.

- Convert complex regulations into structured requirements, compliance checklists and product inputs.

- Support regulatory research and content development for AXS products.

- Assist product teams in identifying compliance, privacy, governance and regulatory requirements for new features.

- Prepare regulatory summaries, comparison notes, presentations and internal knowledge documents.

- Support compliance reviews, gap assessments and client-specific regulatory research.

- Work with technology and business teams on emerging areas such as AI governance, data privacy, digital payments and financial services regulation.

Preferred Candidate Profile

- Fresh Chartered Accountants (CA) and Company Secretaries (CS) are strongly preferred.

- CA/CS finalists or candidates with relevant compliance, legal, finance or regulatory exposure may also apply.

- Strong interest in FinTech, RegTech, Banking and emerging technologies.

- Good analytical, research and documentation skills.

- Ability to understand regulations and translate them into clear business and product requirements.

- Strong written and verbal communication skills.

What You Will Gain

- Hands-on exposure to FinTech and RegTech product development.

- Opportunity to work on AI-powered compliance and financial technology platforms.

- Interaction with product, technology, legal and business leadership.

- Practical understanding of how regulations are converted into digital products and enterprise solutions.

Ideal for: Fresh CA / CS professionals looking to build a career at the intersection of Finance + Compliance + Technology + AI.