Senior IT Auditor

Conducts IT audits to provide technology and senior management with an independent assessment of whether the system of internal controls provides reasonable assurance that business objectives are achieved; resources are used economically and efficiently; governing laws and regulations, as well as FINRA rules and policies are complied with; financial and operating information is reliable and timely; and corporate assets are adequately safeguarded.

Essential Job Functions:


* Conduct Information Technology audits and new Development Reviews (DRs)) of moderate to high complexity either working independently or as a member of an audit team.  Assist Business Area audit teams on business process (integrated) audits by evaluating the application controls of systems that support the business process under review.


* Duties include performing the planning, fieldwork, reporting, and follow-up phases of assigned audits under general supervision and in accordance with departmental (ref., Audit Manual) and professional standards (promulgated by the Information Systems Audit and Control Association and the Institute of Internal Auditors).


* Document and communicate audit results both orally and in writing in an objective, clear, concise, constructive, and timely manner.  Develop audit reports and workpapers that require a minimal to moderate amount of editing by Audit Leadership.


* Assist in developing data analytics techniques to facilitate the testing of controls. 


* Assist VP, IT Audit in the following areas:  (1) Offer suggestions to improve departmental processes and procedures; (2) Produce audit-related time reporting and continual updating of the FINRA Audit Management Information System (AuditBoard).


* Stay abreast of new or emerging information technologies, products, and best practices. 

Education/Experience Requirements:


* Bachelor’s degree in Computer Science, MIS, or related field


* Minimum of 5 years IS auditing experience and/or application development or technical experience related to Cloud (AWS, Azure, GCP), Unix, Windows platforms, and relational databases.


* Experience with Data Analytics and visualization (PowerBI) highly preferred.


* Excellent teamwork and verbal and written communication skills


* Professional certification (such as CISA, CPA, CIA, or CISSP) and/or advanced degree desirable.

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, New York City, NY, MA, WA, MD, Washington, DC, NJ State and NY State, please refer to the chart below for the salary range for the corresponding location.

In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $94,200, Maximum Salary $176,000

CO/HI/MN/VT

*: Minimum Salary $81,900, Maximum Salary $146,600

IL

*: Minimum Salary $90,100, Maximum Sala...