Senior IT Controls Analyst

Business Unit
United Wholesale Mortgage


The Senior IT Controls Analyst will be responsible for assisting with control implemenation, testing, and remediation projects related to SOX.  They will be recognized as a Subject Matter Expert in areas of IT compliance while developing testing strategies for the team.


  • Key responsibilities include assisting with control implementation, testing, and remediation projects related to:
    • Sarbanes-Oxley (SOX)
    • System and Organization Controls (SOC 1 & 2) reporting
    • Business operations systems, cyber security, network/database engineering, controls/risk assessments, information security and privacy, and/or regulatory compliance
    • Various IT governance and/or security frameworks (NIST 800-53, ISO 2700X, COBIT)
  • Proactively identifies how legislation, industry changes will impact UWM business processes and utilizes data to create future-state solutions.
  • Is recognized as a Subject Matter Expert (SME) in areas of IT compliance (specifically SOX and SOC reporting).
  • Leading internal and external team meetings and coaches the team.
  • Developing the testing strategies.
  • Leading the development and execution of test plans.
  • Performing work using standard methodologies, processes and tools to ensure IT Compliance.
  • Resolving issues that may delay the project or otherwise subject the company to financial or regulatory risk.
  • Establishing project tasks and timelines and is held accountable to them.
  • Leading remediation projects and provides guidance and recommendations.
  • Capturing and reporting on IT Compliance data and metrics for assigned project tasks and identifies potential process improvements.
  • Monitoring and coordinating IT Compliance efforts with IT leadership and PMO.
  • Assisting in the implementation and maintenance of the newly acquired Governance, Risk and Compliance (GRC) systems.


  • Bachelor's degree in information technology, business, engineering, or related discipline.
  • 10+ years of experience in information technology, information technology audit, information technology compliance and/or risk assurance.
  • (Preferable) 5+ years of relevant information technology auditing and/or risk assurance experience within a public accounting firm.
  • Certification as certified information system auditor (CISA), Certified Information Systems Security Professional (CISSP), or similar professional certification.
  • Knowledge and experience in Sarbanes-Oxley Act (SOX) compliance and System, and Organization Controls (SOC) reporting.
  • Knowledge of IT General Controls (ITGCs) across multiple IT platforms, including, but not limited to Windows, Linux, and SQL Server environments.
  • Experience with IT regulations and compliance requirements applicable to the financial services industry (CCPA, GLBA, 23 NYCRR 500, and other state and federal regulations and requirements).
  • Strong knowledge of common IT governance and security frameworks (NIST, ISO, COBIT).
  • Strong analytical, communication (verbal & written) and interpersonal skills.
  • Strong leadership and management skills.
  • Flexible and willing to adapt to the evolving business environment.
  • Ability to work independently, prioritize, organize and deliver quality work.
  • Ability to critically think through issues as they arise and propose possible solutions.
  • Ability to build and maintain strong relationships with business leaders & teams across the organization.
  • Experience leading/coaching junior team members on methodology, stakeholder management, and the more technical aspects of integrated audits and reviews.


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." UWM is an Equal Opportunity Employer.

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