VP, Controllership – SOX & Regulatory Reporting Quality Assurance Leader

Role Summary/Purpose

This role has leadership responsibility for Synchrony’s programs to comply with Sarbanes-Oxley Act (SOX) Section 404 and Regulatory Reporting Quality Assurance (RRQA). SOX includes managing the end-to-end compliance program, including scoping, testing oversight, deficiency remediation, and comprehensive reporting to ensure effective internal controls over financial reporting. RRQA provides independent review of the accuracy, completeness, and timeliness of the Company’s regulatory reporting filings.

This role requires extensive engagement and collaboration within Controllership, external audit, and with leaders across Synchrony, especially Finance, Technology & Operations, and Internal Audit. It is a high-visibility position, and the right candidate embodies core values such as leadership, candor, productivity, responsiveness, quality, and collaboration. This role supervises a team of nine.

Our Way of Working

We’re proud to offer you choice and flexibility. At Synchrony, our way of working allows you to have the option to work from home, near one of our Hubs or come into one of our offices. Occasionally you may be required to commute to our nearest office for in person engagement activities such as business or team meetings, training and culture events.

SOX

• Lead Synchrony’s SOX Section 404 Compliance Program including the SOX program strategy and procedures aligned with regulatory requirements and internal policies.

• Annual SOX Scoping and Risk Assessment:

  • Define annual SOX testing scope through risk assessments of financial reporting and control environment data (e.g., RCSAs, process maps, IT systems).

  • Identify significant accounts, processes, applications, Non-Model Tools (NMT), and third-party providers impacting financial reporting.

  • Evaluate fraud risks and adjust scoping accordingly.

  • Present scoping and risk assessment results for approval to key stakeholders including the CAO and Disclosure Committee.

• SOX Testing Oversight:

  • Develop, communicate, and obtain approval for the annual SOX testing plan, covering business and IT controls.

  • Coordinate quarterly and annual testing of key controls with the Internal SOX Team (IST) and monitor testing progress.

  • Ensure appropriate sampling, rigor, and documentation in line with the SOX Testing Working Agreement.

  • Evaluate service organization (SOC
    1) reports and integrate third-/fourth-party control considerations.

• Deficiency Management:

  • Identify, evaluate, document and communicate control deficiencies to CAO, Disclosure Committee, and Audit Committee.

  • Oversee remediation plans and validate closure of deficiencies following Issue Management procedures.

• SOX Reporting and
  
  Certifications:

  • Provide regular updates on SOX lifecycle activities to senior leadership and relevant stakeholders.

  • Support Management and Executive certifications under SOX Sections 302 and 404 via attestation processes and Disclosure Committee sub-certifications.

  • Coordinate preparation and review of management representation letters and external audit communications.

• Program Governance and Awareness:

  • Promote SOX compliance awareness across functional leaders, ensuring understanding of their SOX responsibilities.

  • Provide guidance on control design, deficiency remediation, and policy compliance as needed.

  • Administer SOX training programs and maintain program documentation and recordkeeping per corporate standards.

• Provide strategic leadership and direction for the RRQA program to ensure comprehensive risk assessment and quality assurance oversight.

• Oversee the development, communication, and execution of the annual quarterly RRQA test plans covering conformance and transaction testing of regulatory reports and schedules.

  • Prioritize testing based on report risk tiers (Tier 1, 2, and
    3) to focus resources on higher-risk areas.

  • Monitor testing progress, review findings, and ensure documentation standards for audit readiness.

• Ensure stakeholder engagement and communication by driving issue management and continuous program improvement:

  • Oversee the classification, escalation, and remediation tracking of RRQA-identified issues and discrepancies in reporting…