Financial Compliance Senior Associate (Fintech)

TL;DR

Financial Compliance Senior Associate (Fintech): Leading the end-to-end SOX cycle and maintaining regulatory compliance with an accent on internal controls over financial reporting and risk assessment. Focus on identifying control gaps, performing root cause analysis, and ensuring audit readiness in a fast-paced financial environment.

Location: Based in Menlo Park, CA, New York, NY, or Chicago, IL offices; in-person attendance expected at least 3 days per week

Salary: $77,000 - $115,000 USD (depending on location)

Company

A fintech company on a mission to democratize finance for all.

What you will do

• Lead risk assessments, documentation refreshes, walkthroughs, and testing for key corporate business processes.
• Assist in annual and quarterly SOX 404 scoping and qualitative/quantitative risk assessments.
• Collaborate with process owners to evaluate control deficiencies and implement sustainable remediation plans.
• Partner with corporate teams to revamp existing business controls to ensure scalability with company growth.
• Evaluate new product launches and organizational changes to identify financial risks before launch.
• Serve as the primary SOX liaison between business teams, internal IT SOX partners, and external auditors.

Requirements

• Bachelor’s or Master’s degree in Accounting, Finance, Information Systems, or a relevant field.
• Minimum 4 years of experience in financial audit/attestation at a Big Four firm or in a public company’s internal audit/SOX function.
• Strong knowledge of SOX 404, COSO Internal Control Framework, and PCAOB auditing standards.
• Proven experience owning end-to-end SOX 404 processes and understanding of IT General Controls (ITGCs).
• Strong project management, organizational, and communication skills for coordinating with senior stakeholders.
• Must be based in or able to work from Menlo Park, New York, or Chicago.

Nice to have

• Familiarity with GRC platforms such as AuditBoard or Workiva.

Culture & Benefits

• Performance-driven compensation including bonuses, equity ownership, and 401(k) matching.
• Comprehensive health insurance (100% paid for employees, 90% for dependents).
• Flexible lifestyle wallet for wellness, learning, and other personal needs.
• Employer-paid life, disability, fertility, and mental health benefits.
• Generous time off including company holidays, paid time off, sick time, and parental leave.
• High-end office experience with catered meals, events, and comfortable workspaces.