SOX Manager

Upland Capital Group, Inc. is an AM Best rated “A-” VIII specialty property/casualty insurer headquartered in Dallas, Texas. Through its wholly owned insurance carrier, Upland Specialty Insurance Company, the company markets, underwrites and services specialty insurance products in select markets to include excess transportation, construction casualty, excess casualty, primary general liability, excess public entity, professional liability errors and omissions as well as excess cyber liability.

We focus on “old school” underwriting as a craft, add “new school” analytics and technology, and encourage a gritty, growth mindset among people called “we entrepreneurs.”

As an Excess and Surplus (E&S) carrier, we face unique and interesting problems every day. We are seeking a SXO Manager to join our Security, Risk & Governance team; candidates must be able to work Eastern or Central Standard Time Hours.

Primary Function:

The SOX Manager will serve as a critical leader in managing the company’s Sarbanes-Oxley (SOX) compliance program, ensuring robust governance, risk, and compliance practices across both IT and business operations.

This position will have visibility across the enterprise, regularly collaborating with Finance, Technology, Risk, and Audit stakeholders, and delivering actionable reporting directly to the VP of Security Risk & Governance, the CFO, and the Operational Governance Committee.

The SOX Manager will also oversee the design, implementation, and continuous enhancement of the Internal Controls over Financial Reporting (ICFR) including IT General Controls (ITGCs) and Business Process Controls. You will administer and manage the organization’s GRC tool, drive control design reviews for new application implementations, and provide expert advisory support at the outset of system implementation projects to embed SOX requirements early.

Duties and Responsibilities:

• Lead the design, implementation, and administration of the SOX compliance and NAIC MAR compliance programs
• Manage and maintain control frameworks, including ICFRs including ITGCs and Business Process Controls
• Serve as a key partner during software and system implementation projects, advising on SOX requirements and embedding controls during the design phase
• Coordinate and prepare Control Design Reviews (CDRs) to confirm controls are documented, ownership assigned, and gaps or remediation plans identified
• Partner with control owners to design and enhance processes, ensuring they align with risk-based priorities and regulatory expectations.
• Serve as an administrator and subject matter expert for the company’s GRC platform.
• Drive automation and workflow improvements in GRC platform to support control documentation, evidence gathering, and reporting.
• Train control owners and business stakeholders on GRC usage and compliance requirements.
• Support the Security, Risk & Governance team in conducting enterprise-wide risk assessments, ensuring alignment with SOX and broader compliance objectives
• Collaborate closely with Internal Audit and external auditors to ensure sufficient scoping, testing, and remediation of SOX-related issues.
• Act as a trusted advisor to Finance, IT, and business leadership, providing proactive guidance on emerging risks and control expectations.
• Leverage knowledge of insurance operations (e.g. underwriting, claims, actuarial, investment, and reinsurance processes) to assess risks and controls
• Ensure compliance controls align with NAIC Model Audit Rule and other insurance regulatory expectations in addition to SOX.
• Promote a culture of control accountability and risk awareness throughout the organization.

  Experience, Education, Special Skills Required:

• Bachelor’s or Master’s Degree in Accounting, Finance, Information Systems, Risk Management, or related field
• Minimum of 7 years of experience in SOX compliance or internal audit
• CPA or CIA license
• Additional relevant certifications preferred (CIA, CISA)
• Strong technical writing and communication skills, including ability to present to senior leadership and work cross-functionally
• Strong technical proficiency, including Microsoft Office Suite, analytics products, and familiarity with GRC platforms (Archer, Workiva etc)
• You must have a high degree of self-motivation and have a high degree of attention to detail
• Experience in insurance desired

  Disclosures:

Pay Estimate: $140,000 - $150,000/year

Other compensation: annual incentive program

Benefits: health insurance including FSA and HSA options and free access to Teladoc, vision, dental, disability and life insurance, parental leave, responsible time off (unlimited vacation days without an accrual system), paid sick time as required by law, 401(k), tuition reimbursement and employee assistance program.

Anticipated close date: 10/31/2025