IT Auditor Project Lead

Under general direction of the VP, IT audit, IT Auditor Project Leader 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 IT audits (Information Technology) reviews and new Development Reviews (DRs)) of moderate to high complexity either working independently as the auditor-in-charge 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. [50%]
• 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 the Director and VP (IT Audit) and the SVP of Internal Audit. 
• Assists in developing the annual Audit Plan by providing input to a risk assessment of market, regulatory, and corporate systems and related infrastructure operated by or on behalf of FINRA and its subsidiaries.
• Take the lead in working with IA Management on enhancing IA’s Data Analytics Program capabilities. [40%]
• Design and develop advanced risk analytics, predictive models, etc., utilizing data collected by IA from a wide range of FINRA systems. 
• Develop data analytics techniques to facilitate the testing of controls.
• Working with minimal supervision, leverage data analytics to effectively evaluate FINRA functions in coordination with Internal Audit management and staff. 
• Provide on-the-job training for assigned staff with respect to audit techniques and administration, and offer input into their performance evaluations. [5%]
• Stay abreast of new or emerging information technologies, products, and best practices. [5%]

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 7 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 Microsoft 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) required.
• 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, WA and MD 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 $106,400, Maximum Salary $200,200

Washington, DC/Maryland: Minimum Salary $106,400 Maximum Salary $191,800

Colorado/Hawaii: Minimum Salary $92,500, Maximum Salary $166,800

New York, NY: Minimum Salary $111,000, Maximum Salary $200,200

Washington State: Minimum Salary $92,500, Maximum Salary $191,800

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