Senior Director of SOX Readiness, Upgrade
$200-250k
+ Stock option plan
2-3 days a week in office
Offering responsible credit to mainstream consumers
Job no longer available
Offering responsible credit to mainstream consumers
1001+ employees
Job no longer available
$200-250k
+ Stock option plan
2-3 days a week in office
1001+ employees
Company mission
To help our customers move in the right direction with responsible financial products that put more money in their pocket.
Role
Who you are
- 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 the job involves
- 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
- 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
- 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
- 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
- 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
Our take
Most credit cards don't encourage the owner to pay down their debt. The longer it takes to pay off the balance, the more money lenders are set to make. Upgrade is an online lender and card issuer doing things differently. The company offers personal loans and credit cards but with a fixed instalment structure and a set number of equal payments. This ensures the balance reduces every month.
The company believes this model reduces default rates, as borrowers are forced to pay down rather than maintain their debt, and it encourages a greater commitment to repay the balance. Further, by combining the ease of a Visa card with the fixed payments and decreased rates of a personal loan, Upgrade sets itself apart from competitors.
In 2021, Upgrade launched its mobile banking and debit card as a strategy to onboard new customers and increase loyalty. The fixed-rate nature of the company's cards is expected to be of use to customers in future years in an environment of rising rates. Upgrade also plans to expand beyond the U.S. in the future, which will represent new challenges for the business as it adapts to alternative regulations.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
18% employee growth in 12 months
Company
Funding (last 2 of 6 rounds)
Oct 2025
$165m
SERIES G
Nov 2021
$280m
SERIES F
Total funding: $712m
Company benefits
- Stock option plan
- 100% paid coverage of medical, dental and vision insurance
- Flexible PTO
- Opportunities for professional growth and development
- Paid parental leave
- Health & wellness initiatives
Company HQ
Financial District, San Francisco, CA
Leadership
Renaud Laplanche
(Co-Founder & CEO)After an MBA at London Business School, Renaud spent 5 years as an Associate at Clearly Gottlieb Steen & Hamilton and co-founded MatchPoint. They then left Oracle after a year to co-found Lending Club in 2006 and co-founded Upgrade in August 2016.
Adelina Grozdanova
(Co-Founder & Head of Investor Group)Adelina started their career with 6 years at Morgan Stanley after a degree at Princeton. They left banking in 2012 to join Lending Club as VP, and after 3 years co-founded Upgrade, serving as Head of Investor Group since 2016.
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