Sarbanes oxley Interview questions 1610

  • Hi all,
    I will be appearing for an interview on 11th july in an IT company. I have done a dissertation on SOX and its implications on IT company.
    I know basics about SOX.
    I just wants to ask the forum, what can be the probable questions on ‘SOX and its importance in IT’ in the interview.
    If any one has some idea/experience pls help me.
    Pls dont forget to put answers/hint to the tricky questions/situations.

  • Hi Vishesh,
    You might find it helpful to read through and understand the FAQs on SOX from Protiviti Consulting to help you to prepare for your interview.
    English might not be your first language, but you should work to improve it both in writing and in verbal communication.
    In my opinion, there is no shortage of technically competent ‘SOXperts’, but it is difficult to identify experienced risk management professionals with exceptional communication and interpersonal skills.
    Good luck,

  • One of the business forums devoted to Project Management has a career section and we are constantly discussing these types of questions.
    Some ideas of what might be asked in applying for a SOX related position:

    1. Tell me about yourself?
    2. What is your current roles and responsibility in your company?
    3. What is your experience in the development of SOX related controls?
    4. Please describe how you were successful with implementing in SOX related controls? What challenges did you face?
    5. Describe your SOX related training
    6. Describe your training related to Accounting and financial systems?
    7. Describe your IT training and background?
    8. Describe techniques used in working with others during SOX implementation (e.g., senior management, business managers, IT teams)
    9. Tell me about you would solve an issue where the business professionals and IT do not agree on the approach for SOX implementation?
    10. It is important to plan and prepare in advance for any interview Know all of the SOX standards thoroughly, as you might be quizzed on what SOX 302, 404, 409, 902 etc mean … The same goes for COBIT, COSO, etc. Several good links to help in preparation can be found here:
      Be sure to ask at least a couple of questions yourself as it shows both interest and preparation 😉 Below are some ideas:
    11. How is your business outlook for the coming year?
    12. What are the challenges your company is facing?
    13. What major projects has your company implemented in the past year?
    14. You might ask more specific questions on products or services the company offers from your advance preparation and research of their website (as this is a sign of showing interest).
    15. What major projects do you know about that are planned for the coming year?
    16. What are your major challenges for SOX implementation?
    17. What are the critical success factors you are looking for in SOX implementation?
      Note: Focus only on job related questions … I’d avoid asking detailed questions about salary, benefits, vacations, etc.; as usually HR folks cover this.
      Finally, this while this link pertains to the Project Management profession, you can subsitute any job profession here for general principals on ideas for resumes, cover letters, interview preparation, and follow-up.
      Add ‘www’ to link below and paste into your browser

  • Hi,
    To prepare for an interview for a SOX position, it might be helpful to Google search on the terms ‘core competency’ and ‘Auditing’. Much of the knowledge, skills, and abilities for success in a career in Auditing are similar to those that would apply for participation on a SOX project.
    The AICPA has developed CPA Core Competencies tested on the Uniform CPA Examination. Again, many of these core competencies would apply to SOX and could be used to perform a self-assessment ito help you to determine if you have the requisite skills for SOX.

  • Milan and harrywaldron,
    thank you so much for your reply and valuable suggestions.

  • Vishesh
    How did you fare in the 11th July Interview?

  • Vishesh
    How did you fare in the 11th July Interview?
    You can see same topic at the side bar of this site. You can find out some thing same your questions. I will post if have not.
    If you want to do more info, you also visit at: KPMG interview questions
    Best rgs

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