Senior Financial Compliance Analyst

Business Unit
United Wholesale Mortgage


The Senior Financial Compliance Analyst will be in Finance working with the SOX Business Process team that is responsible for internal controls over Financial Reporting (ICFR) at UWM. The role entails working with a wide cross-section of the organization, liaising with key business areas, while having an analytical and technical approach to problem solving while supporting the company’s SOX internal controls program.


  • Assisting in the SOX scoping assessment and planning activities as necessary.
  • Facilitating/leading various functions on the SOX team such as design and implementation documentation, control walkthroughs, testing operating effectives of controls, evaluation and remediation as needed
  • Coordinating/leading training programs as it relates to internal controls/SOX compliance
  • Coordinating with process and control owners regarding SOX documentation, design/re-design of key internal controls, evaluation, and necessary remediation.
  • Building and maintaining strong relationships with key stakeholders - process and control owners, external auditors, internal audit, and other parties as applicable
  • Focusing on building strong business process/institutional knowledge
  • Assisting in determining the impact of known control deficiencies and analyze the magnitude of design and execution issues reported throughout the year
  • Working through implementation of remediation plans as applicable.
  • Assisting with updates on the progress of the overall SOX program including SOX program scope, project activities, training programs, deficiencies, and remediation activities, etc.
  • Assisting with coordination with the external auditors through the various phases of the SOX program
  • Assisting with the design and execution of risk-based projects with the objective of identifying gaps and areas of improvement while evaluating potential business impact


  • A minimum 2-3 years of related audit and accounting experience, preferably gained in Big 4 or Regional accounting/consulting firms
  • Previous experience supporting SOX programs /internal controls framework
  • Strong knowledge of COSO and GAAP principles, risk assessment practices, internal control framework, a solid understanding of the concepts of control design and operational efficiency
  • Ability to build and maintain strong relationships with business leaders and teams across the organization
  • Ability to identify problems, recommend effective solutions, and ensure that those solutions are implemented effectively and timely
  • Flexibility, adaptability and comfort with the unknown
  • Ability to work independently, prioritize, organize and deliver quality work
  • Must possess excellent communication skills (written and oral), and be comfortable interacting with all levels of the management team
  • Experience in working in the financial services / mortgage industry is a plus
  • Demonstrate high standards of conduct and ethics as well as appropriate judgment, independence and discretion
  • CPA, CIA, and/or CFE certifications, or working towards attaining certification a plus


Ready to join thousands of talented team members who are making the dream of home ownership possible for more Americans? It’s all happening on UWM’s campus, where our award-winning workplace packs plenty of perks and amenities that keep the atmosphere buzzing with energy and excitement.


It’s no wonder that out of our six pillars, People Are Our Greatest Asset is number one. It’s at the very heart of how we treat each other, our clients and our community. Whether it’s providing elite client service or continuously striving to improve, our pillars provide a pathway to a more successful personal and professional life.


From the team member that holds a door open to the one that helps guide your career, you’ll feel the encouragement and support on day one. No matter your race, creed, gender, age, sexual orientation and ethnicity, you’ll be welcomed here. Accepted here. And empowered to Be You Here.


More reasons you’ll love working here include:

      • Paid Time Off (PTO) after just 30 days
      • Additional parental and maternity leave benefits after 12 months
      • Adoption reimbursement program
      • Paid volunteer hours
      • Paid training and career development
      • Medical, dental, vision and life insurance
      • 401k with employer match
      • Mortgage discount and area business discounts
      • Free membership to our large, state-of-the-art fitness center, including exercise classes such as yoga and Zumba, various sports leagues and a full-size basketball court
      • Wellness area, including an in-house primary-care physician’s office, full-time massage therapist and hair salon 
      • Gourmet cafeteria featuring homemade breakfast and lunch
      • Convenience store featuring healthy grab-and-go snacks
      • In-house Starbucks and Great Lakes Coffee Roasting Company
      • Indoor/outdoor café with Wi-Fi


All the above duties and responsibilities are essential job functions subject to reasonable accommodation and change. All job requirements listed indicate the minimum level of knowledge, skills and/or ability deemed necessary to perform the job proficiently. Team members may be required to perform other or different job-related duties as requested by their team lead, subject to reasonable accommodation. This document does not create an employment contract, implied or otherwise. Employment with UWM is "at-will." We are an Equal Opportunity Employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status.


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