Title: IT Auditor
Department: Internal Audit
Internal Audit (IA) supports the Board of Directors Audit Committee and senior firm leadership in fulfilling their oversight roles by independently assessing the firms internal control structure, raising awareness of control risk, providing advice to management in developing control solutions, and monitoring the implementation of managements control measures.
IA is comprised of the following global functional audit teams covering the various business areas of the firm.
Technology Audit Associate General Responsibilities:
Develop and maintain an in-depth understanding of business and technology areas, products, systems, and supporting functions.
Execute audit testing and supervise junior team members to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards.
Identify risks, assess mitigating controls, and make recommendations on improving the control environment.
Prepare commercially effective audit conclusions and findings, and present to IA senior management and clients.
Follow-up on open audit issues and their resolution.
Participate in department-wide initiatives aimed at continually improving IAs processes and supporting infrastructure.
Requirements and Qualifications:
Strong analytical and data analysis skills (e.g., SQL, ACL, or similar tools).
4+ years of experience either in technology function (e.g., Developer, system architect, DBA, System Administrator, etc.) or in a technology audit role.
4-year degree required (computer science, math, MIS preferred).
Graduate degree in Computer Science or Finance.
Demonstration of a strong understanding of the financial services industry and related lines of business.
Team-oriented with a strong sense of ownership and accountability.
Superior leadership, interpersonal, and relationship management skills.
Excellent verbal and written communication skills.
Certification or industry accreditation (e.g., CISA, CISSP, CISM, CFA, Series 7) is a plus.
Highly motivated with the ability to multi-task and remain organized in a fast-paced environment.
Solid knowledge of the brokerage industry, capital markets, and securities products.
Application security management: user entitlements, authentication, accountability, data protection.
System Architecture and Design: availability, performance, scalability, data integrity.
Technology Operations: change management, data backup and retention, performance and capacity management.
Technology governance: technology risk management, policies and procedures, rules, regulations, intellectual property.
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