Job Description

Job Description

Job Description

Assesses the quality of controls across all risks areas including operations, finance, regulatory, technology, M&A, and clearing. Develops, plans and evaluates internal audit programs for the organization's accounting statistical records, the organizations technology systems and the activities of various departments to ensure compliance with policies, procedures and standards. Ensures the effectiveness of internal controls in compliance with corporate objectives and government standards, such as Sarbanes-Oxley Act (SOX). Audits information systems and applications. Prepares reports for management on the results of audits, providing recommendations on improvements.

Position responsibilities:
1. Documents preliminary audit findings on the quality of controls across all risk creating areas including operations, finance, regulatory, technology, M&A, and clearing.
2. Performs routine activities, with some multi-tasking, on a single project.
3. Participates in planning, interviews, and assessments of controls and procedures together with a senior auditor.
4. Tests controls and procedures under supervision of a senior auditor.
5. Participates in discussions regarding developing smart control recommendations.
6. Reports preliminary findings and drafts parts of the internal audit recommendation.

Education required: Bachelor Degree in Business Administration, or a related discipline, i.e. Computer Science or Information Systems. Advanced degree preferred.
Experience Required: 1 to 2 years
Certifications: Professional auditing certifications and proficiency in servers, operating systems and databases

Core Skills & Requirement: Requires conceptual knowledge of theories, practices and procedures within a discipline. Requires guidance on task initially and requires supervision. Is working in a smaller defined area of the role, this continues to expand as the employee gains more confidence and capability. Applies general knowledge of business developed through education or past experience. Often needs help understanding the commercial side or key business drivers impacting the task/decision. No supervisory responsibilities; accountable for developing technical contribution. Uses existing procedures to solve standard problems; analyzes information and standard practices to make judgments. Has limited impact on own work team; works within standardized procedures and practices to achieve objectives and meet deadlines as described by supervisor. Exchanges straightforward information, asks questions and checks for understanding. Advocate for Control: Recognizes when control and exposure problems occur, promptly notifying team. Researches audit information and prepares preliminary reports with findings. Provides preliminary input to control plans, adhering to deadlines and balancing competing priorities or deviations from plan. Acquires knowledge of systems and databases through completing routine responsibilities. Completes routine activities by using company systems and technologies. Completes quality review checks on data. Prepares preliminary reports and analyses according to predetermined standards for supervisor/manager review and input. Provides insights on proposed audit plans. Learns how to identify inconsistencies between work products and supporting analyses. Develops an understanding of control and processing risks and how to assess them during the course of an audit. Develops awareness of basic definitions, rules, and techniques of risk management. Applies basic functional and technical knowledge, in addition to organizational and IT standards, techniques, and procedures when completing work. Seeks opportunities to build functional skills and technical expertise; gathers feedback from senior associates. Develops basic understanding of technical discipline, answering questions pertaining to a specific area of expertise.

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