Responsibilities
- Conduct integrated operational, compliance, financial audits and Sarbanes-Oxley testing of manual and automated controls.
- Develop a thorough understanding of the Company’s exchange and clearing operations.
- Assist with the completion of audit risk assessments.
- Complete audit assignments within established time frames and budgets.
- Perform independent appraisal of policies and procedures.
- Document audit procedures performed in accordance with departmental standards.
- Communicate identified control deficiencies to management effectively.
- Maintain effective relationships with internal and external contacts.
- Draft or review audit reports and conduct exit conferences with management to discuss findings and management’s response.
- Travel to other locations as required for internal audit and training purposes.
- Data Analytics (preferred):
- Develop, create, and modify general computer audit applications software or specialized utility programs.
- Design software or customize software for client use with the aim of optimizing operational efficiency.
- Support the data analytic needs of the sub departments within Internal Audit
- Automate portions of annual regulatory audits
- Create Technical and user guide documentation for all Audit routines
Knowledge and Experience
- Bachelors degree or higher required with a commitment to maintaining or obtaining appropriate professional certification (e.g. CIA, CPA, CFE, CISA).
- Practical experience with a programming language such as Python, VBA, JAVA preferred.
- Practical experience with SQL and an understanding of database schemas preferred.
- 3-5 years in internal audit or equivalent experience.
- Excellent communication, organization and time management skills with appropriate attention to detail.
- Ability to perform multiple projects simultaneously.
- Must be proficient in Word, Excel, and PowerPoint.
- Ability to adapt in a high growth, rapidly evolving industry.
- Supervise audits of the general business and information technology functions in supporting the execution of the annual audit plan.
- Knowledge of financial services industry, exchange services, futures clearing merchants, clearing organizations, or energy or commodities trading is a plus.
- Ability to travel 15-25 percent; including international.
