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Sr. IT Controls Consultant

Location: Chicago, IL, United States
Date Posted: Feb 11, 2020

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Job Description


Internal Controls Coordinator (ICC) coordinates and drives enterprise compliance to IT General Controls, IT SOX Controls, and IT Export Controls. 

JOB DUTIES: The Business Process Consultant role acts a subject matter expert and trusted advisor for IT Controls compliance. This position’s customers are both internal and external. Internally, customers include Business Unit and Enterprise Management as well as Caterpillar Corporate Governing bodies such as Corporate Risks & Controls, Corporate Legal, International Trade Group, Corporate Ethics & Compliance, Global Export Compliance Team, and Corporate Internal Auditing & Compliance.  Externally, customers include Caterpillar’s External Auditors. Incumbent supports global geographic regions. Incumbent frequently interacts with Senior Management as well as staff level.

Primary responsibilities may include:

IT SOX Controls
Provide Enterprise governance and consultation on IT controls policies, processes, deadlines, and testing.
Perform IT Sarbanes Oxley (SOX) compliance testing and communicate results to Management.
Provide guidance to Management to help ensure control issue are remediated timely.
Escalate non-compliance to controls or deadlines to Management.
Communicate, implement, and manage organizational change of IT control changes and ownership.
Key member of Financially Significant Application determination team by collecting key IT application information and providing information to Corporate Risk & Controls Team. 
Coordinate Caterpillar’s External Auditor’s audits.
Complete Corporate IT SOX Summary of Aggregated Deficiency (SAD) and issue analysis that is used by Corporate Accounting Officer and Caterpillar’s External Auditors.
Train Internal Control Coordinators (ICCs) within the business on IT SOX requirements.
Corporate IT Representative in world-wide annual and on-going SOX training.
Update SOX Control tool with organization and audit results.
Implement controls at new facilities and entities.
Overall, key contact for IT SOX compliance.
Lead process improvement, control deployment and new FSA projects 

IT Export Controls
Ensure Enterprise compliance to Caterpillar’s IT Export Controls Program.
Assess export compliance, review findings, and develop potential mitigation solution with system owners.
Write new or update existing IT Export Control policies for new technologies.
Train and advise IT organizations and management on Export Control requirements. 
Complete Export Controls classification and facilitation reviews for applications. 
Perform citizenship screening of individuals who have privileged access to controlled technology.
Provide judgment on if exports are allowed in country.
Perform risk analysis of third-party procurement for IT Services.
Overall advocate and liaison with Global Export Compliance Team.

IT General Controls
Perform risk assessment reviews of various IT General Control to ensure sustained compliance.



Requires strong initiative, accountability, communication, and interpersonal skills. 
Requires project management skills and experience.
Persistence and courage and ability to motivate others through difficult circumstances or adversity to achieve desired outcome.  
Ability to understand outcomes and have an enterprise view and understanding when resolving issues or completing projects.
SAP and mainframe knowledge and experience is a plus
Willingness to stand up and advocate ideas or position, even if it is politically unpopular.
Ability to work with diverse customers and departments, including Senior Management.
Bachelor’s degree or 6-8 years of progressively complex IT experience generally gained through staff assignments in Information Services and related areas. 
Understanding of IT business operations and processes including but not limited to application development and support, infrastructure implementations, and consolidations and support.

This is a remote work opportunity if the employee sits outside of the Peoria, IL area. 

Caterpillar is not currently hiring individuals for this position who now or in the future require sponsorship for employment visa status; however, as a global company, Caterpillar offers many job opportunities outside of the U.S. which can be found through our employment website at

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Job Info

Feb 11, 2020


United States

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