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Principal IT SOX Auditor

Location: Dallas, TX, United States
Req ID: 017447

Job Description


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Ready to be a Cooper too? This might just be right up your alley!

We’re here to keep the dream of home ownership alive. Oh, and while we’re at it, we’re determined to change the lending industry itself. It’s simple, but it won’t be easy. And we’ll need a great team behind us. (That’s where you come in.) We want to show the world that transparency, candor and collaboration aren’t just good values. They’re good business. Working here isn’t for people who want to punch a clock. It’s for people who want to punch a hole in the status quo. Come join us. And make a difference instead of just a living.

Job Summary:

We are looking for an experienced Principal IT SOX Auditor who enjoys hands-on involvement with complex IT SOX programs.

As a Principal of Internal Audit - IT SOX, you will partner with Mr. Cooper management to collaboratively identify and creatively mitigate risks. As a Principal of the audit team, you will lead the evaluation of operational, financial and compliance practices and develop ideas to help clients creatively manage risk while building strong relationships, departmental credibility and demand for audit services. Deliver outstanding audit services to business partners and act as a leading member of the Mr. Cooper team of risk management and audit professionals.  This position interacts with internal auditors as well as process and control owners.

Roles & Responsibilities:

  • Establishes and maintains effective business relationships and build partnerships with audited areas to ensure mutual understanding of risks, audit scope, procedures and reporting progress
  • Supervises and coaches the audit team including: ensuring assignments are adequately planned, answering questions, providing technical assistance to the audit staff, ensuring work is performed in accordance with company and internal audit standards and providing staff assessments with input from the AVP and/or Vice President
  • Plans and conducts independent internal audits and reviews in support of the Company’s annual internal audit plan, including leading and participating in a wide variety of IT SOX reviews
  • Develops audit test programs and performs audit tests to evaluate the design and operating effectiveness of internal controls
  • Experience & knowledge in IT control best practices within key IT infrastructure areas including network and Internet security, SDLC, BCP/DR, application security, cloud computing, data center operations and general IT operations
  • Performs research to understand and summarize laws and regulations or other requirements and assesses if functions and programs being evaluated are in compliance
  • Prepares audit findings and recommendations that clearly communicate risks, in terms of impact to the business and root cause, and key audit issues from a senior management and Audit Committee perspective
  • Manages, executes and reviews IT SOX testing and documentation
  • Meets with clients / auditees to communicate audit results and recommendations
  • Provides periodic updates to management and the Internal Audit AVP and/or VP regarding status of IT SOX work and other projects in process
  • Provides assistance and guidance to external auditors to ensure a timely and efficient completion of their audits (where applicable)
  • Assists the AVP and/or VP on special projects and assignments
  • Develops skills necessary for advancement to other opportunities within the company or within the Internal Audit team
  • Good analytical skills and utilizes data analysis software to perform statistical analyses of data (SQL knowledge a plus, but not required)

Core Skills:

  • Sarbanes-Oxley Audit – IT General Controls testing
  • IT – Control implementation and compliance review
  • Business continuity and disaster recovery planning, implementation and testing
  • Information security management
  • Information systems audit (Application Controls audit)
  • Audit program management
  • IT infrastructure
  • Cloud computing and related risks
  • Agile change management methodology

Core Requirements:

  • Graduation from a 4-year college or university with major course work in a discipline related to the requirements of the position is preferred. Will consider the equivalent combination of job experience & education that demonstrates the ability to perform the essential functions of this job
  • At least 6-8 years of public accounting or internal audit experience in the financial services industry
  • Strong knowledge of internal audit methodologies and practices, including IIA standards, and the implementation of such methodologies
  • Detail-oriented, deadline driven, self-directed and organized individual
  • Strong written and verbal communications skills
  • Excellent coaching, mentoring and facilitation skills
  • Proven ability to excel in highly interactive team environment
  • Able to understand risk and control concepts
  • Strong knowledge of Microsoft Office applications (Word, Excel, and PowerPoint), specifically, skills with Excel including filtering, pivots, charting and graphing; and PowerPoint skills used in creating various reports for senior management
  • Strong project management skills understanding assignments, tracking/monitoring progress, and reporting on status
  • Understanding of data and data structure
  • Relevant industry certifications such as CISA, CIA, or information security related certifications a plus
  • Proven experience and knowledge in auditing the following IT audit domains:
  • Enterprise Applications including the following control areas: Application security architecture, Application access, Server-level access and controls, Database-level access and controls, System interface controls to ensure completeness, accuracy, and data integrity
  • Information Security
  • Data Governance and Management
  • Business Continuity and Planning and Disaster Recovery
  • User Access
  • Data Center and IT Operations
  • IT Governance
  • Systems Development Life Cycle (SDLC), Project Management Life Cycle (PMLC), and Application Change Management
  • Cloud Computing
  • Websites and Mobile Applications
  • Network and Internet Security
  • IT Asset Lifecycle Management

Mr. Cooper is committed to nurturing a diverse and inclusive environment where every employee is empowered to be their authentic self.  We know that a large part of our success as a business is directly tied to our ongoing efforts to attract and retain diverse talent and maintain an inclusive environment where each employee can thrive.  Embracing and leveraging diversity through an inclusive work environment fosters new ideas, new insights, and constant innovation.  We strive to weave the principles of diversity and inclusion throughout the fabric of how we work, how we interact, and how we engage with our customers and the community.

Job Requisition ID:


Job Category:

Audit & Controls

Primary Location City:


Primary Location Region:


Primary Location Postal Code:


Primary Location Country:

United States of America

Posting Organization:

Mr. Cooper

Line of Business:


Additional Posting Location(s):

Alternate Requisition:



Responsible for documenting and testing internal controls over financial reporting by following the Company's risk rationalization and adopted control assessment approach.  In addition, this position will be responsible for organizing and administering internal and external audit documentation requests.  This position interacts with internal and external auditors as well as process and control owners.
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