Senior IT Auditor

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’ ...