Director of SOX Compliance

UPC Insurance
June 26, 2019
Saint Petersburg, FL
Job Type


Summary: This position is based in St. Petersburg FL. The Director of SOX Compliance is responsible for overseeing the Company’s compliance with all rules and regulations including requirements under the Sarbanes Oxley Act. Reports directly to CFO and will have significant interactions with the Board of Directors, Named Executive Officers, Internal Audit and other functional department leaders with an emphasis on Finance, IT and Claims and Underwriting. This position will lead risk assessments and manage all documentation related to the Company’s system of internal control. The Director of SOX Compliance will provide recommendations to improve/enhance the internal control environment and reports that allow the CEO and CFO to certify compliance.

Essential Duties/Responsibilities

  • Experience with risk identification and assessment in the Company’s key transaction cycles with an emphasis on financial reporting and information technology processes.
  • Assists with the mapping of controls to COSO principles and financial statement assertions.
  • Manages internal control documentation and performs management duties, including planning, scheduling, coordinating, reviewing and following up on the work of team members; provides expertise on auditing standards, regulatory requirements and other performance criteria.
  • Coordinates with Internal and External auditors as well as other key stakeholders on the execution of plans approved by the Audit Committee regarding ongoing testing of controls.
  • Demonstrate and apply a clear understanding of audit methodologies in supporting SOC Type 1 and Type 2 audits for UPC’s service providers. Works with the appropriate business owners coordinate the completion of the analysis of the controls of the service providers and that the required controls are in place as outlined by the service providers or by the appropriate accounting standards.
  • Plans assign and supervises the daily activity and work of all resources; effectively manages and develops staff.
  • Develops and maintains productive relationships with a member of the Executive Management team.
  • Prepares written reports and communicate them effectively.
  • Assists in the identification of or potential for fraud and other changes to an existing system of internal control.
  • Evaluates Internal Audits plans to test controls and monitors the testing process to ensure timely completion required to meet all filing deadlines. I don’t know that the external auditor will allow you to evaluate their plans for testing controls.
  • Designs and executes resolution plans for testing discrepancies.
  • Assists with due diligence procedures on acquisitions and develops plans for integration and SOX compliance once completed.
  • Updates internal controls documentation and identifies key controls as business processes are changed.

Supervisory Responsibilities: Oversees the work of internal associates and external professional service provider engaged to assist the Executive Team with SOX Compliance.

Required Skills

  • Minimum 10 years of full-time public accounting and/or SEC experience
  • Financial reporting or public company auditing experience that included development, evaluation and testing systems of internal control.
  • Good understanding of internal control frameworks (COSO).
  • Good understanding of the requirements of Sarbanes-Oxley.
  • Familiarity with PCAOB requirements related to internal control documentation
  • Financial services industry experience
  • Ability to build relationships with management and auditors
  • Professional Credentials: CPA, CISA, MIIA and/or CIA certifications preferred.
  • Experience with public companies preferred. 

Education And/or Experience

  • Bachelor's Degree in Accounting or Finance or equivalent education requirements.


To perform the job successfully, an individual should demonstrate the following behaviors:

  • Motivation/Initiative: Motivated and curious, willing to ask questions, research issues and take on challenging projects/assignments; creative, brings new ideas to the table, exhibits self-confidence. Has strong achievement motivation and tenacity.
  • Administrative Skills: Possesses the ability to organize and follow-through on multiple tasks, recognizes and attends to important details with accuracy and efficiency, effectively prioritizes work of staff members. Works to complete goals, tasks and plans, anticipates potential problems and analyzes alternative solutions.
  • Interpersonal Style: (Interpersonal Skills, Communication, Teamwork); develops/ maintains effective working relationships; listens attentively to others; communicates ideas clearly (written & verbal); relates to people in an open/ sincere manner; participates effectively in meetings; assists in finding solutions as well as identifying problems; communicates appropriately with supervisor, managed staff and co-workers. Able to manage other individuals and maintain calm and reliable demeanor in the face of challenges.
  • Self-Management: (Adaptability/Flexibility, Stress Tolerance, Autonomy); adapts readily to changes in routine; works effectively in stressful situations; needs limited guidance and direction; is comfortable working in a fast-paced environment; is reliable and dependable; is results-oriented; maintains productivity and composure under pressure; views problems as opportunities to create solutions.
  • Thinking Skills: Diagnoses problems efficiently; gathers sufficient input before making decision or plans; makes timely decision, quickly determines sources of problem, identifies information needed to solve problem and analyzes alternative solutions, communicates issues and decisions effectively to team. 

Keys To Success

The Director of SOX Compliance should possess the following traits:

  • Excellent communication skills (written and oral).
  • Strong interpersonal skills - ability to work closely with people at all levels of the organization and facilitate the implementation of corrective action.
  • High standard of ethics discipline and professionalism.
  • Strong organizational and analytical skills.
  • Ability to multi-task and meet deadlines.

Company Description

UPC Insurance is a flourishing and vibrant company that writes property insurance in catastrophe-exposed areas. UPC is one of the fastest growing property insurance companies in the country. Founded in 1999 and headquartered in St. Petersburg, Florida, we currently operate in several states with plans to rapidly expand. UPC Insurance maintains an “A” (Exceptional) Financial Stability Rating from Demotech.

At UPC, we believe that extraordinary associates drive our business. Our team of talented and committed associates create value for our customers and shareholders daily. We are traded on the NASDAQ exchange with the symbol “UIHC.” Our ultimate vision is to be the premier provider of property insurance in catastrophe-exposed areas.