The team includes professionals with trading, sales, risk management, compliance, technology, finance and operational experience. Internal Audit reports directly to the Audit Committee of the Board of Directors.
The Technology Audit team performs regional and global audits covering Our Client’s Technology application systems and infrastructure components such as databases, operating systems, data centers, and messaging platforms. The Technology Audit team also performs business-integrated audits covering the technology components of various business units, including investment management, sales, trading, operations, risk management, finance, legal and compliance.
Our Client’s Internal Audit Technology group is seeking a Vice President for its Technology Audit practice. The Vice President will support the execution of the firm’s annual audit plan and advisory activities by leading global and regional audit reviews and ongoing engagements with business units.
The Technology Audit Vice President will have the following responsibilities:
•Managing and leading the execution of audit reviews, including:
– Project management and resource planning
– Engaging with stakeholders to understand and document key processes and risks within a specific business unit
– Making risk-based determinations on audit scope
– Designing and executing test plans to validate controls
– Investigating and escalating issues identified during testing
– Drafting audit reports and issue details
– Discussing observations and remediation activities with senior stakeholders
– Overseeing issue remediation
•Contributing to ongoing business monitoring and optimization activities, including:
– Identifying emerging firm-wide and business risks, understanding organizational changes through quarterly engagements with business units, and completing risk assessments of these areas
– Leading projects aimed at optimizing business processes and control activities
– Providing advisory services during the development of new businesses and systems
– Performing regulatory and industry-driven audit reviews
– Leading or contributing to global department-wide initiatives
•Developing and maintaining effective working relationships with businesses and support functions, including acting as the primary Internal Audit business engagement liaison for one or more lines of business
•Contributing to ad hoc presentations to clients, internal committees, and regulatory bodies
•Assisting in the formation of the annual audit plan
•Managing global audit staff, while providing timely and candid feedback and coaching
Qualifications:
•Undergraduate or graduate degree in management information systems, engineering, technology, computer science, or a related field is preferred. BA/BS, or equivalent, is required
•Extensive experience in technology function or in a technology audit role, preferably within the financial services industry
•Strong understanding of application development, databases, operating systems, networking and other key technology infrastructure components
•Advanced knowledge of technology controls including: application security management (e.g. user entitlements, authentication, accountability, data protection), system architecture and design (e.g. availability, performance, scalability, data integrity and validation), technology operations (e.g. change and release management, data backup and retention, performance and capacity management), and technology governance (e.g. technology risk management, cyber security rules and regulations)
•Interest in broad exposure to investment management, sales, trading, operations, risk management, finance, legal, and compliance activities in the asset management industry
•Familiarity with financial instruments and asset management processes
•Proficient understanding of current regulatory and industry events
•Relevant professional certifications are a plus
Skills:
•Excellent communication (verbal, written, listening) and interpersonal skills
•Ability to develop and maintain effective working relationships with peers and business partners
•Intellectual curiosity and healthy skepticism
•Ability to synthesize and articulate complex ideas
•Critical thinking and problem solving abilities
•Strong project management, organizational, and presentation skills
•Familiarity with Excel
•Commitment and strong work ethic
