Responsibilities
Auditing and Business Processes:
- Develop a thorough understanding of the Company's clearing and exchange operations.
- Assist with updating and maintaining the audit universe and related risk assessments.
- Assist with the development of the audit plans, audit programs and test procedures.
- Execute control testing and document results to support the internal audit plan.
- Communicate identified control deficiencies to management effectively.
- Maintain effective relationships with the internal and external contacts.
- Work on special projects as assigned.
Information Technology Control Auditing:
- Evaluate the design, operational effectiveness and efficiency of IT control processes and procedures for various operational, financial and compliance processes.
- Provide recommendations to management based on observations and testing.
- Lead, perform and document all phases of IT audits including planning, fieldwork, reporting results and performing subsequent follow-up procedures.
- Coordinate documentation requests for internal and external auditing requests.
- Communicate IT concepts and risks to non-IT auditors and management
Knowledge and Experience
- 3+ years of experience in IT audit function or experienced IT professional.
- Understanding of IT control processes including: information security, access controls, change management and IT operations among others.
- SOX IT Audit experience is a plus.
- CISA or similar certification is a plus.
- Familiarity with regulatory auditing standards such as FFIEC IT examination handbooks is a plus.
- Programming, CAAT and database management skills are a plus.
- Excellent communication and writing skills.
- Ability to perform multiple projects simultaneously.
- Travel 10-15 percent; including international travel.
