Upgrade is a fintech company that provides affordable and responsible credit, mobile banking, and payment products to everyday consumers. The Senior Director of SOX Readiness will lead the company's Sarbanes-Oxley (SOX) compliance readiness program, ensuring that internal controls, processes, and documentation meet public company requirements. This role is critical for IPO readiness, partnering with finance leadership, auditors, and stakeholders to build and execute the SOX program and establish a strong internal control environment aligned with PCAOB and SEC requirements.
Responsibilities
- SOX Program Leadership: Design, implement, and manage the SOX readiness roadmap; establish the control framework; drive risk assessment and materiality analysis.
- Internal Controls & Compliance: Collaborate with teams to design and implement effective controls; evaluate control gaps and remediation; ensure compliance with COSO and PCAOB standards.
- Governance & Reporting: Prepare updates for leadership and audit committees; establish policies and procedures; build internal control culture.
- Audit & Advisory Partnership: Liaison with external auditors; ensure effective control testing; advise on processes and system impacts.
Qualifications
- 12+ years progressive experience in accounting, finance, audit, or risk management, including 5+ years leading SOX/internal controls programs.
- Deep knowledge of U.S. GAAP, SEC, PCAOB, and SOX 404 requirements.
- Experience in high-growth, pre-IPO fintech or financial services preferred.
- Strong leadership, project management, and communication skills.
- CPA, CIA, or CISA certification preferred.
Benefits & Compensation
- Competitive salary ($200,000-$250,000 annually) plus equity and benefits.
- Paid medical, dental, and vision coverage.
- Retirement plans, flexible PTO, professional growth opportunities, parental leave, and wellness initiatives.
This is a hybrid role based in San Francisco, CA.
