Under general supervision of the VP, IT Audit, the 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:
Responsible for completion of assigned, moderately complex IT Audit activities within a comprehensive audit plan and supporting activities that provide independent, objective assurance and advisory services, designed to add value and improve FINRA's operations.
Risk Assessment and Development of Agile Audit Plan: Assists with maintaining a comprehensive understanding of internal and external risk within areas of subject matter expertise. Through proactive communication with senior management and participation in key initiatives, provides input to the Senior Director and Director to support development of a dynamic Internal Audit Plan for related risks, and execution of audit activities against the areas of highest risk.
Execution of Technology Audits and Development Reviews: Conducts fieldwork of moderately complex or technical functions in accordance with assigned budgets and deadlines. May provide input to audit planning, and development of observations. May perform workpaper review to ensure that fieldwork completed by auditors is of high quality.
Development and Execution of Continuous Auditing/Monitoring Plan: Provides Senior Director and Director with consultative input within areas of subject matter expertise in support of a continuous auditing/monitoring strategy. Provides input on activities performed by the 1st and 2nd lines of defense. Assists with identification of analytical opportunities and timely execution of related continuous auditing activities within less complex areas.
Consulting and Support of Key Management Initiatives: At the direction of the Senior Director or Director, may participate in Internal Audit assessment of management initiatives.
Support of Departmental Strategic Initiatives: At the direction of the Senior Director or Director, may participate in Internal Audit strategic initiatives.
Staff Development: Provides consultative advice on team-wide training initiatives. Responsible for providing team members with appropriate and adequate on-the-job training and professional development opportunities
Other Responsibilities:
- Perform special projects as assigned
Education/Experience Requirements:
- Bachelor’s in Computer Science, Management Information Systems (MIS), Information Technology (IT), or related field; Master’s degree in above disciplines preferred.
- Minimum of 5 years’ analysis and/ or technical support experience related to various operating systems (e.g., Red Hat Linux, Amazon Linux, Windows 10)
- Application development, and programming experience required. Proficiency with programming languages (e.g.; Java, Python, C++, Ruby on Rails, .Net); databases (e.g.; Oracle, Access, PostgreSQL), and SQL experience required. Proficiency with Office 365, Visio, and related tools expected.
- Information Security coursework or work experience required.
- Proficiency with security testing, vulnerability assessments, and security architecture (e.g.; Windows security, Unix security, Infrastructure (routers, switches, firewalls) security preferred.
- Experience with a variety of data analytics tools (e.g., SAS, Access, Tableau, QlikView, and ACL) preferred.
- Must be comfortable working with different clients and communicating both orally and in writing.
- Professional certification (such as CISA, CISSP, CIA) and/or advanced degree desirable; ability to obtain at least one industry certification within 18 months of hire.
Working Conditions:
- Normal office conditions.
- Some travel required (less than 20% annually).
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed 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.
California: Minimum Salary $91,500, Maximum Salary $170,900
Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
Colorado/Hawaii: Minimum Salary $79,500, Maximum Salary $142,300
New York, NY: Minimum Salary $95,400, Maximum Salary $170,900
Washington State: Minimum Salary $79,500, Maximum Salary $163,700
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.
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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
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