Senior Director, SOX Readiness

Upgrade helps customers move in the right direction with affordable and responsible financial products. Since 2017, we’ve helped over 7 million customers access over $40 billion in consumer credit. With a relentless focus on improving our customers' financial well-being, we build products that put more money in their pocket and support their journey toward a better financial future. We’re backed by some of the most prominent technology investors and were most recently valued at $6.3B.

We’re consistently recognized for our collaborative and inclusive culture. Most recently, we were named one of the World’s Top Fintech Companies by CNBC, Best Places to Work by Built In, Best Places to Work by the San Francisco Business Times, America’s Greatest Workplaces by Newsweek, Best Startup Employer by Forbes, and Healthiest Employers by Phoenix Business Journal. 

We’re looking for new team members who get excited about designing and delivering new and better products. Come join us and help build a better financial future for millions of people.

 

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About the Role:

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 the requirements of a public company environment. This role will play a critical part in preparing the company for IPO readiness, partnering closely with the Chief Accounting Officer, finance leadership, internal audit, external auditors, and business stakeholders. The successful candidate will build and execute the SOX program, oversee risk assessment and control design, and establish a strong internal control environment aligned with PCAOB and SEC requirements.

This is a hybrid role based in our San Francisco office.

 

What You’ll Do: 

• SOX Program Leadership
• Design, implement, and manage the company’s SOX readiness roadmap in preparation for IPO.
• Establish the control framework across financial reporting, operations, IT, and entity-level controls.
• Drive scoping, risk assessment, and materiality analysis to identify key controls.
• Internal Controls & Compliance
• Partner with accounting, finance, operations, and IT teams to design, document, and implement effective internal controls.
• Evaluate control gaps, recommend remediation plans, and oversee timely execution.
• Ensure compliance with COSO and PCAOB standards for control design and testing.
• Governance & Reporting
• Prepare SOX readiness updates for executive leadership, the Audit Committee, and other stakeholders.
• Establish policies, procedures, and control documentation to support sustainable compliance.
• Build a strong internal control culture across the organization through training and awareness programs.
• Audit & Advisory Partnership
• Act as the primary liaison with external auditors on SOX-related matters.
• Ensure effective control testing and monitoring.
• Provide advisory support to business and system owners on new processes, system implementations, and control impacts.

 

What We Look For:

• 12+ years of progressive experience in accounting, finance, audit, or risk management, with at least 5 years leading SOX or internal controls programs.
• Deep knowledge of U.S. GAAP, SEC, PCAOB, and SOX 404 requirements.
• Experience in a high-growth, pre-IPO, fintech or financial services environment strongly preferred.
• Proven track record of leading cross-functional SOX readiness initiatives, including control design, implementation, and remediation.
• Strong leadership and project management skills with the ability to influence and drive results across functions.
• Excellent communication skills, both written and verbal, with experience presenting to executive leadership and audit committees.
• CPA, CIA, or CISA certification strongly preferred.

 

What We Offer You: 

• Competitive salary and stock option plan
• 100% paid coverage of medical, dental and vision insurance 
• Competitive 401(k) and RRSP program
• Flexible PTO
• Opportunities for professional growth and development  
• Paid parental leave
• Health & wellness initiatives

The compensation range of this position in San Francisco, CA is USD $200,000- 250,000 annually plus equity and benefits. Within this range, an individual's base pay will be dependent on a variety of factors, including without limitation, job-related knowledge, skills, education, and experience.

For California residents: Upgrade's California Notice at Collection and Privacy Policy describes our practices regarding the collection, use, and disclosure of the personal information of job applicants.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Upgrade does not accept unsolicited resumes from staffing agencies, search firms, or any third parties. Any resume submitted to any employee of Upgrade without a prior written agreement in place will be considered the property of Upgrade, and Upgrade will not be obligated to pay any referral or placement fee. Agencies must obtain advance written approval from Upgrade's Talent Acquisition department to submit resumes and only in conjunction with a valid, fully executed agreement. English is required for all positions, as it involves interacting with staff at Upgrade's offices worldwide.