Sox Compliance Manager

Responsibilities

• Build and maintain our SOX 404 / ICFR program on the COSO 2013 framework, including the process narratives, flowcharts, and risk-and-control matrices that show how each key financial process works and where the controls sit as well as Entity-Level Controls (ELCs), management's fraud risk assessment framework, and Code of Conduct compliance monitoring.
• Run the annual scoping and materiality analysis to set which accounts, assertions, and controls are in scope, across business processes (revenue, procure-to-pay, inventory, payroll, close, and treasury) and IT general controls.
• Test key controls for design and operating effectiveness, directly or with co-sourced help, then document the results, rate the severity of any gaps (deficiency, significant deficiency, or material weakness), and work with process owners to fix them on time.
• Design and document controls around our more complex, judgment-heavy areas, including the convertible note and term loan and their fair value and 409A valuation, the Gradable joint venture, capitalized software, and revenue, and keep controls in step with the business as we add systems, close acquisitions, or adopt new accounting standards.
• Partner with IT and security on IT general controls (access, change management, and operations) and on the key reports and spreadsheets that feed the financials.
• Evaluate SSAE 18 / SOC 1 Type II reports for critical third-party service providers, identifying Complementary User Entity Controls (CUECs) and assessing vendor risk
• Serve as the main point of contact for our external auditors: own the prepared-by-client (PBC) request lists, pull supporting documentation together from across Finance, keep it moving so the audit stays on schedule, and keep our work in line with PCAOB standards (AS 2201).
• Maintain compliance with PCAOB standards (AS 2201), including appropriate materiality thresholds and sample sizes, and coordinate with external auditors to keep quarterly financial information audit-ready.
• Train control and process owners, help stand up SOX tooling as we scale, and report program status, testing results, and remediation to Finance leadership, the CFO, and the Audit Committee.

Minimum Qualifications

• Bachelor's degree in accounting, finance, or a related field.
• Active CPA.
• At least 7 years of relevant experience, with a strong base in public accounting audit (Big 4 or a large national or regional firm preferred).
• Solid, hands-on knowledge of SOX 404, ICFR, the COSO 2013 framework, and PCAOB standards (AS 2201).
• Direct experience designing, documenting, and testing internal controls, evaluating deficiencies, and driving remediation.
• A working understanding of IT general controls and how they support financial reporting.
• Good working knowledge of U.S. GAAP and the financial close.

Preferred Qualifications

• Experience working in or transitioning to a PCAOB-audited environment, including familiarity with PCAOB materiality standards, sample size requirements, and audit expectations.
• Experience building controls around complex, judgmental areas such as the valuation of debt or convertible instruments, joint ventures, capitalized software (ASC 350-40), and revenue recognition (ASC 606).
• Experience with GRC or SOX tools such as AuditBoard or Workiva.
• Experience with ERP systems and the controls that live inside them (NetSuite, Oracle, SAP, or Workday).
• Comfort using data and automation to make controls testing more efficient.
• Exposure to ag, agtech, fintech, or marketplace businesses, or to multi-entity operations.
• Additional certifications such as CIA, CISA, or CFE.

Characteristics