PEAK6 is currently seeking an Internal Audit professional to lead its Internal Audit function. The primary responsibility of this position is to develop and execute an on-going and risk-based internal audit program. Qualified candidates must have proven abilities in the areas noted below:
Key Skills & Responsibilities:
- Developing a dynamic on-going and risk-based internal audit program for business units of varying complexity as well as shared services.
- Planning, organizing and independently executing audit work – including, but not limited to, on-site observations, personal interviews with management and staff personnel, analytical procedures, and detailed analysis and testing of data and/or information.
- Analyzing data/information to reach logical conclusions, identifying and suggesting solutions for problems in internal controls and following up until successful implementation as well as identifying opportunities for improving efficiencies.• Preparing and presenting articulate internal audit report findings and recommendations to process owners and relevant levels of management. This includes discussions with management to ensure factual accuracy and concurrence, and, coordinating with management to obtain compelling solutions.
- Providing risk-focused guidance to business units and shared services on policies and control procedures, including proactively communicating with appropriate areas of the firm to manage emerging risks and trends.
- Creating and maintaining an Internal Audit Risk Assessment to support the audit plan.
- Assisting in IT Annual Risk Assessment and IT Controls testing.
- Four-year Bachelor’s degree in Finance or related discipline.
- Minimum of five years of progressive audit experience in public accounting, broker-dealer or investment adviser.
- Working knowledge of appropriate internal audit methodology, risk management and risk analysis techniques.
- Excellent writing, oral and presentation skills.
- IT auditing experience preferred.
- Certified Internal Auditor (CIA) certification strongly preferred.
- Self-motivated, detail oriented and organized.
- Flexible as business conditions change.
- Detail oriented with the ability to embrace change.
- Ground work in "best practice" applicable to internal audit.
- Familiarity with broker dealers and investment advisers.
- Experience with exercising sound judgment in a high-volume, fast paced environment.
- Strong project management skills.
- Ability to "think outside the box" for solutions.
- Ability to deliver high quality results on or before deadlines.
- Ability to document systems and operational processes with flowcharts, narratives and questionnaires.
- Experience with Dynamics GP, FRx, COGNOS, MKInsight preferred.
PEAK6 is a financial institution founded on one simple notion - there has to be a better way. By asking the tough questions, and...