Cetera Financial Group
Senior IT Controls Analyst
Cetera Financial Group, Schaumburg, IL
Job Description
We are at the forefront of transforming the future of technology in the financial industry, and we seek curious, practical individuals to help us pave the way. Our team is not intimidated by taking calculated risks, as they relish a good challenge and are eager to engage in problem-solving. As a member of our team, you will work alongside like-minded experts in a culture that is deeply rooted in innovation and progression. Join us to be part of a transformative journey that can shape the industry's future.
As a Senior Line 2 IT/Security Control Tester, you will play a crucial role in leading efforts in evaluating and enhancing the effectiveness of our internal controls related to financial reporting and compliance. Working closely with the Internal Audit and Compliance teams, you will be responsible for developing test procedures, testing, and validating security controls to identify control design gaps, control operating effectiveness gaps, vulnerabilities, assess risks, and ensure the organization's adherence to industry standards and regulations
This position will have the flexibility to work remotely/hybrid from one our offices: Dallas TX, San Diego, CA, El Segundo, CA Shamburg IL, Denver, CO, Dubuque, IA Des Monies IA and ST. Cloud, & ST. Paul, MN and Atlanta GA.
What you will Do:
What you need to have:
Compensation(Colorado, Connecticut, California and Remote)
The salary range for this role is $140,000-$180,000, plus competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.
About Us
What we give you in return:
Not many teams can say that they support people's dreams coming to life... We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.
We are at the forefront of transforming the future of technology in the financial industry, and we seek curious, practical individuals to help us pave the way. Our team is not intimidated by taking calculated risks, as they relish a good challenge and are eager to engage in problem-solving. As a member of our team, you will work alongside like-minded experts in a culture that is deeply rooted in innovation and progression. Join us to be part of a transformative journey that can shape the industry's future.
As a Senior Line 2 IT/Security Control Tester, you will play a crucial role in leading efforts in evaluating and enhancing the effectiveness of our internal controls related to financial reporting and compliance. Working closely with the Internal Audit and Compliance teams, you will be responsible for developing test procedures, testing, and validating security controls to identify control design gaps, control operating effectiveness gaps, vulnerabilities, assess risks, and ensure the organization's adherence to industry standards and regulations
This position will have the flexibility to work remotely/hybrid from one our offices: Dallas TX, San Diego, CA, El Segundo, CA Shamburg IL, Denver, CO, Dubuque, IA Des Monies IA and ST. Cloud, & ST. Paul, MN and Atlanta GA.
What you will Do:
- IT/Security Control Testing: Lead and conduct comprehensive assessments of IT and security controls related to financial reporting and compliance to identify weaknesses, gaps, and areas for improvement.
- Audit Facilitation: Facilitate internal controls over financial reporting and compliance audits by serving as coordinator between Management and Auditors for audit deliverables and audit walkthroughs.
- Documentation: Develop testing documentation templates and prepare clear and concise documentation of testing procedures, test results, findings, and recommendations for improvement, ensuring compliance with audit standards.
- Collaboration: Work closely with cross-functional teams, including IT, Compliance, and Audit, to facilitate communication and understanding of IT and security control requirements.
- Risk Assessment: Lead efforts in the identification and evaluation of risks associated with internal controls, providing insights to help mitigate potential threats to financial integrity and regulatory compliance.
- Continuous Improvement: Contribute to the ongoing development and enhancement of internal control processes, policies, and procedures to align with industry best practices and regulatory changes.
What you need to have:
- Bachelor's degree in information technology, Computer Science, Finance, Accounting, or relevant experience.
- Excellent analytical and problem-solving skills.
- Effective communication and interpersonal skills.
- Detail-oriented with a high level of accuracy.
- Proficient with Microsoft Excel and Office Suite .
- Knowledge of industry standards and regulations related to financial institutions' IT and security controls.
- Previous experience in internal audit, compliance, or security control testing.
- Familiarity with internal controls, financial reporting, and compliance.
Compensation(Colorado, Connecticut, California and Remote)
The salary range for this role is $140,000-$180,000, plus competitive performance-based bonus. Compensation packages are based on a wide array of factors unique to each candidate, including but not limited to skill set, years and depth of experience, certifications, and specific office location. Compensation ranges may differ in differing locations due to cost of labor considerations.
About Us
What we give you in return:
Not many teams can say that they support people's dreams coming to life... We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
About Cetera Financial Group:
Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.