Corporate Services: It Controls Associate

B. Riley Financial (“B. Riley”) provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley is headquartered in Los Angeles with offices across the U.S. as well as an international presence.
We are seeking a full-time IT Controls Associate.
Direct Responsibilities:

• Support the SOX IT general control framework and related activities.
• Confirm that the control frameworks are organized, maintained, and measured across the corporate IT environment.
• Assist with our semi-annual audit cycle: User Access Reviews and SOC reviews.
• Monitor and assess compliance with SOX requirements utilizing internal and external resources, including documentation of new processes and controls, updating existing processes and controls, and testing controls.
• Assist the IT Controls Manager in making control processes more robust, secure, and efficient, especially user access reviews.
• Request, obtain, review, and analyze a variety of artifacts to assist in executing IT controls testing such as security plans, SOPs, system screenshots, and system configuration settings
• Continuous monitoring of change management practices, system access and security configurations throughout the organization.
• Support responses on findings and deficiency assessments and help track follow-through on remediations.
• Perform rigorous assessments of IT controls using industry-standard guidance, leading practices, and professional judgement.
• Support risk-based IT and Information Security project audits in accordance with the annual audit plan.
• Work collaboratively with business and corporate units to embed an understanding of the risk profile and risk appetite of the firm.
• Summarize, document, and communicate IT controls assessment results to a variety of stakeholders, including senior leadership.
• Stay updated with industry trends, emerging technologies, and regulatory changes to proactively address IT governance challenges and opportunities.
• Other duties as assigned.

Critical Attributes:

• 2 – 5 years of experience with IT controls in a SOX environment
• IT Audit experience with a nationally recognized audit firm a plus
• Attention to detail and strong critical thinking skills
• Ability to understand how all the pieces of a complex, multi-business IT environment fit together.
• Good written and verbal communication skills.
• Ability to understand the details of a potential deficiency and figure out when it is not a finding.
• Professional persistence as well as professional skepticism.
• Ability to deal effectively with conflict.
• Can exercise independent judgement and autonomy.
• Has the ability to operate with a limited level of direct supervision.

B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit-sharing retirement plan, and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company-paid life and disability coverage.

Profit sharing, Disability insurance, Health insurance, Dental insurance, 401(k), Vision insurance