Senior Program Manager, SOX

Sofi•Cottonwood Heights, UT

55d

About The Position

The Sarbanes-Oxley (SOX) Program Management Office (PMO) at SoFi, is part of the Controllership organization and is responsible for ensuring the company has the necessary internal control and assessment elements in place to meet the SOX requirements. The PMO facilitates risk assessment and scoping to determine project scope of each reporting year. We prepare the internal control assessment plan and accompanying timelines, inclusive of scheduling and conducting process walkthroughs for each process with process/control owners. From the walkthroughs, we oversee/execute the updating of control descriptions and process flowcharts. Our team reviews current and prior-year control deficiencies in order to determine the remediation status. Associated with deficiencies, we prepare control deficiency reports and monitor/follow-up on remediation efforts. We meet with external auditors as necessary to provide status updates and remediation efforts of ongoing work. The SOX PMO manages the SOC1 audits and associated reporting executed by our service auditors. Additionally, the SOX PMO team partners with the business to provide internal control over financial reporting associated with emerging areas/products, mergers and acquisitions and conducts SOX Readiness assessments, inclusive of creating the Risk and Control matrices and flowcharts. SoFi is seeking an experienced, highly-motivated Senior Program Manager (PM) with a passion for problem solving, critical thinking, strategy and working in a dynamic and ambiguous environment to further develop SoFi's SOX compliance program. You will be pivotal in shaping the vision, vibrant culture and team. The ideal person for this position will have a demonstrated program management skillset with a base understanding of SOX and internal controls over financial reporting (inclusive of Business Process and IT SOX controls) along with excellent technical, data-driven reporting and communication skills, and the ability to partner and influence effectively across cross-functional business teams. Every day is a new challenge and you're continually looking for ways to help our team get better at what we do, in the most efficient way possible. You move fast while keeping your attention to detail, and you tap into your problem-solving skills to support SoFi business objectives. This is a high-visibility, high-impact role within the SoFi and a great opportunity for someone passionate about influencing through change to achieve results. The SOX PMO - Senior PM will report to the Sr Director of SOX, Financial Data & Regulatory Reporting Governance, and will work with a mix of direct, indirect, and external team members to manage and execute the program. Alongside the core focus of SOX Program Management, the Senior PM will also own the SOX Quality Assurance responsibilities, SOX Issue Management program and be be viewed as a resource in special projects related to new SoFi products, product features, system implementations/upgrades while assessing their impact on SOX and ICFR.

Requirements

Ten or more years of Program Management experience, inclusive of dashboard and report development with technical skills in Tableau (or other dashboarding tool) and Asana (or other program management tool)
Should have base knowledge focused on BP and IT SOX, ICFR, COSO Framework and Accounting US GAAP
Licensed CPA and/or CIA/CISA (or equivalent) certification
Driven by Excellence - you are driven by our mission and our passion for customer success which means you relentlessly pursue excellence, that you do not tolerate mediocrity and you work intensely to achieve your goals
High Integrity - you seek open and honest communication, and you hold yourself to very high moral and ethical standards
You reject manipulation, dishonesty and intolerance
Critical thinking, analytical and strategic skills
Ability to independently navigate within an ambiguous environment
Organized, detailed, proactive, self-motivated, collaborative
Proven ability to work cross functionally and adapt to change are extremely important
Ability to prioritize workloads and ensure deadlines are consistently met
High integrity and ability to handle confidential information
Ability to define deliverables, build budgets and project plans, align resources and specialists for project teams.
Strong project management skills and organizing ability with successful experience in concurrently managing multiple projects at varying levels of technical difficulty at the same time.
Strong teamwork and communication skills (both oral and written).

Nice To Haves

Big 4 Accounting Firm experience is strongly preferred.
Prefer FinTech, banking and/or financial services experience primarily focused on BP SOX or IT enterprise-wide risk management and ICFR controls consulting.

Responsibilities

SOX Program Management - Working with the Head of SOX Governance to create and manage the SOX Program Management function, overseeing the various project plans and reporting for the SOX PMO and Testing team activities (risk assessments, walkthroughs, testing, issue monitoring), SOX Compliance activities, SOX Readiness responsibilities for New/Emerging subsidiaries, products, processes and systems.
Inclusive of the Program Management program will be developing dashboard reports to provide insight to the SOX program health for SoFi and feeding data into monthly Executive SOX Program reports, SOX Steering Committee reports and Audit Committee reports.
Partner and guide our cross-functional business teams to meet their SOX requirements and responsibilities. Collaborates with team members to develop detailed SOX project plans.
Coordinates activities across multiple functional groups including finance, business systems, supply chain, technology team, internal audit team members, third party SOX co-sourced providers (where/when applicable), external auditors, and internal business process owners.
Leads and facilitates project meetings with an efficient and structured approach to ensure successful execution. Generates and disseminates meeting minutes which accurately capture key decisions, open issues and action items. Follows up on status of task and action item execution both within and outside of meetings, and updates project documentation (project timeline, meeting minutes) accordingly.
SOX Quality Assurance - Lead and execute the SOX Quality Assurance function where the Sr PM will conduct quality assurance reviews over SOX testing (BP and IT) on a periodic basis. Work with our SOX testing team on corrective actions arising from the quality assurance reviews.
SOX Issue Management - Partner with the SOX managers and execute the SOX Issue Management program, providing oversight of issue reporting and monitoring of remediations for deficiencies raised from our risk assessments, 1st line business owners and testing.
Builds high morale and team commitments to goals and objectives by creating a compelling sense of common purpose and direction.
Drives definition of the global strategy for the Company's SOX compliance program and partners with subject matter experts to ensure appropriate internal controls (manual and system) for SOX 404B compliance are designed and implemented.
Collaborates with other 1st, 2nd and 3rd line Risk and Compliance groups and auditors (as needed) to organize end-to-end process walkthroughs, Risk Assessment interviews with business areas across the enterprise to understand, document, the SOX scope and evaluate the design effectiveness of processes, risks, key controls, and key reports.
Partners with business area process owners and SOX PMO Senior Managers of Business Process (BP) and IT/EPD to develop and implement new key controls where design gaps or control deficiencies have been identified and create action plans for issue remediation.
Delivers timely and concise communication to senior management regularly, including developing and producing management reporting illustrating SOX status, trends, and remediation of deficiencies.
Proactively identifies any technical/resource issues, concerns or challenges of assigned projects; develops action plans to address open issues, including escalation to key partners and stakeholders. Facilitates tradeoff decisions and removes obstacles.
Leader, management consultant, and internal controls expert as part of building and maintaining ongoing relationships with the various lines of business included in the company's SOX process.
Responsibilities also include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance 2) adhering to company policies and procedures, 3) completing required training.