Principal Director, Internal Audit & SOX

Description The application window will close June 30th, 2026. Job Location The primary work location for this role is Denver, CO with a hybrid work model. About Envestnet Envestnet is an adaptive WealthTech company that is redefining the future of wealth management by helping advisors meet the moment with its comprehensive technology, actionable insights, and industry leading support. Backed by over 25 years of experience and approximately $7.0 trillion in platform assets, Envestnet is trusted by over one third of financial advisors across leading banks, wealth managers, brokerages, and RIAs. For a deeper look at how Envestnet is shaping the future of financial advice, visit www.envestnet.com . The Team You'll Join Envestnet's Internal Audit and SOX team sits at the center of enterprise trust, helping the firm operate with confidence in a complex, fast‑evolving environment. The team leads high‑impact financial, operational, and technology‑enabled audits, owns SOX compliance end‑to‑end, and partners closely with senior leaders and the board to deliver pragmatic, risk‑based insights that drive real business value. In a period of transformation and growth, the team designs scalable, efficient control frameworks that balance rigor with practicality and remain future‑ready. What makes this team exciting is its influence, visibility, and solutions‑oriented mindset—offering professionals the opportunity to shape governance, strengthen decision‑making, and have a meaningful, enterprise‑wide impact. How You ' ll Contribute The Principal Director, Internal Audit & SOX is a senior, enterprise-level leadership role with broad authority and accountability for the governance, design, execution, and continuous improvement of the Company's Internal Audit and Sarbanes-Oxley (SOX) compliance programs. This role consolidates and expands responsibilities traditionally held by a head of SOX and an Internal Audit Director with scope, complexity, and decision-making authority aligned to a Principal Director benchmark. The role carries primary, day-to-day operational responsibility for the SOX program, including risk assessment, materiality and scoping, testing strategy, deficiency evaluation, remediation oversight, management reporting, and accountability for driving SOX cost efficiency and coverage trade-offs. This includes making informed, risk-based decisions regarding control rationalization, reliance strategies and testing approaches to ensure an appropriate balance between rigor, efficiency, and business impact. In parallel, the role serves as a senior leader within Internal Audit, contributing to enterprise risk assurance through operational, financial, compliance, and selected technology-enabled audits aligned to business priorities, and leveraging (but not owning) enterprise risk management outputs to focus audit work on the areas of highest value and exposure. Following the Company's acquisition by private equity and transition to a private-company operating model, this role is critical in maintaining a high standard of control rigor while redesigning and optimizing the SOX operating model for a leaner, value-focused environment. The Principal Director will ensure the control framework remains scalable and IPO-ready, while appropriately calibrated to current ownership expectations and risk tolerance. The ideal candidate will have an enterprise mindset with the ability to operate effectively at both strategic and execution levels, including a strong executive presence with credibility to influence, challenge, and partner with senior leaders. To succeed in this role, the right individual will demonstrate an analytical, pragmatic, and solutions-oriented skill-sets, with a focus on value creation, risk mitigation, and informed decision-making. Internal Audit Leadership Lead complex audits across financial, operational and technology domains Assist in the definition and execution of the function's risk-based audit plan Develop and drive audit methodology and related process improvements Partner with senior management and C-suite leaders and provide pragmatic advisory insight to senior management on risk management, control design, and process improvement initiatives as needed/required Prepare management and board-level reporting Lead and develop IA and SOX team personnel by establishing clear expectations, performance standards, and accountability while building bench strength and succession capability Assist in the procurement, implementation and on-going improvement of supporting technologies for the IA/SOX functions. SOX Program Leadership Own and lead the SOX compliance program end-to-end, addressing all aspects of the framework (i.e., business, IT and entity-level processes and controls) Be a thought-leader for SOX/Internal controls and related risks at Envestnet, providing management with regular updates on developments, controls optimization and solutions to increase process efficiency Optimize the SOX/Internal Controls operating model for private equity ownership Exercise independent judgment on deficiencies and remediation Drive cost efficiency and materiality/scoping coverage trade-offs Lead the development, implementation and documentation of Provide training and guidance as needed to support the business, ensuring on-going accountability and commitment to an efficient and effective control environment. What You ' ll Need to Bring Bachelor's degree in Accounting, Finance, Information Systems, or a related discipline. 10-15+ years of progressive experience across internal audit, SOX, accounting, risk management, and/or assurance functions, including substantial leadership responsibility. Deep expertise in SOX, internal controls, and risk-based auditing across financial and operational environments. Experience operating in complex, regulated, or sponsor-owned organizations with regular senior management interaction. Nice-to-Haves Big 4 public accounting or equivalent professional services experience. Professional certifications such as CPA, CIA, CISA, CISM, CISSP, or equivalent. Financial services, FinTech, asset management, or technology-enabled services industry experience. Experience supporting organizations through ownership transitions and operating model changes. Experience of leading companies to IPO from a SOX/Internal Controls standpoint is highly advantageous. Why You'll Enjoy Working at Envestnet Help shape the future of WealthTech. At Envestnet you'll gain hands-on experience and collaborate with some of the industry's brightest minds to deliver meaningful, innovative solutions that make a real difference. We value flexibility in how and where work gets done, and we recognize strong performance with meaningful rewards—because your contributions should drive both business success and your own personal growth. If you're looking for a place where your work has impact, your development is supported, and your contributions are truly valued, Envestnet is where you can build your future. The opportunity is now! Sponsorship This position is not open to candidates requiring visa sponsorship Our Investment in You This role offers a base salary range of $184,200 - $230,300 . The range listed represents a good-faith estimate of base salary compensation for this position and does not include incentive compensation, equity or benefits. Individual pay will be determined based on factors including, but not limited to, relevant experience, skills, education, certifications, and geographic location, in accordance with applicable pay transparency laws. This role is eligible for an additional incentive component as part of the total rewards package. We provide a comprehensive suite of benefits - subject to Envestnet's plan eligibility rules - that support your overall well-being including, medical insurance, paid time off (PTO), 401k company match, paid parental leave, education reimbursement, disability coverage and mental health & wellness support. Our investment in you means supporting you professionally, financially, and personally at every stage of your journey with us. Please visit our benefits page on our career site to learn more. Our Commitment to Inclusion & Belonging Envestnet is an Equal Opportunity Employer and is committed to creating an inclusive environment for all employees and applicants. We welcome and value individuals of all backgrounds and do not discriminate based on race, color, religion, creed, sex (including pregnancy or related medical conditions), gender identity or expression, sexual orientation, national origin, ancestry, age, disability, genetic information, military or veteran status, citizenship status, or any other status protected by applicable law. We encourage individuals from all backgrounds to apply. We strive to provide an inclusive application and interview process. If you are a candidate with a disability and require reasonable accommodation, please contact us at careers@envestnet.com. Please include your full name, the title of the role you are applying for, and the accommodation necessary to assist you with the recruiting process. Recruitment Fraud At Envestnet, safeguarding the trust and safety of job seekers is a top priority. We are aware that scammers may impersonate Envestnet recruiters or create fake job opportunities to deceive candidates. Review the information on our recruitment fraud awareness page to help you recognize and avoid recruitment fraud.