Global Markets Technology Auditor

About the role

The Americas Global Markets Technology auditor is responsible for leading, managing, and executing technology audits for Global Markets applications, particularly for Global Equities and Securitized Products. This role involves planning through to report issuance, conducting risk assessments, continuous monitoring, and issue follow-up/validation. The role also supports the department’s strategic initiatives, particularly in Data Analytics.

Responsibilities

• Leading, managing, and executing IT application audits within an investment bank
• Conducting risk assessments, continuous monitoring, and issue follow-up/validation
• Ensuring consistent delivery of assignments on time and to quality
• Improving Global Markets IT audit and departmental processes for impactful results
• Supporting Internal Audit’s strategic initiative for Data Analytics
• Utilizing data analysis to improve and enhance the audit approach
• Maintaining strong independent working relationships with senior technology management
• Directing pre-implementation reviews, special projects, ad hoc investigations, and advisory work
• Assisting non-technical assurance colleagues in understanding technology risk and controls

Requirements

• Strong background and experience of managing and executing IT application audits within an investment bank
• Experience in risk assessment, IT general controls, and auditing of data integrity
• Good knowledge of Global Markets businesses and associated IT activity covering Equities (including execution services) and Securitized Products
• Experience in managing complex regional and global audit projects
• Strong analytical skills, exercise appropriate professional skepticism, and ability to identify key risks and control improvements
• Strong communication skills, both oral and written, particularly as it relates to audit reports and Management / Committee presentations
• Strong time and project management skills, consistently delivering to deadlines (budget and time)
• Strong leadership and management skills, with a proven track record of demonstrating maturity and leadership
• Potential for building strong relationships with auditees and managing upwards at senior levels
• Sound judgment on the criticality and impact of issues identified, with a risk and commercial focus

Qualifications and Knowledge

• Bachelor’s degree or higher qualification in Computing, Sciences, or Engineering, supported by work experience as a Technology Audit lead in a financial services firm, Consulting or Big 4 firm
• CISA/CISM/CISSP or equivalent technical qualification preferred
• Knowledge of general auditing principles, and best practices and standards
• Knowledge of coding e.g. using Python and other languages, to provide insight into risks and/or controls
• Knowledge of data science / artificial intelligence tools and prompt engineering

Skills

• Strong background and experience of managing and executing IT application audits within an investment bank
• Experience in risk assessment, IT general controls, and auditing of data integrity
• Good knowledge of Global Markets businesses and associated IT activity covering Equities (including execution services) and Securitized Products
• Experience in managing complex regional and global audit projects
• Strong analytical skills, exercise appropriate professional skepticism, and ability to identify key risks and control improvements
• Strong communication skills, both oral and written, particularly as it relates to audit reports and Management / Committee presentations
• Strong time and project management skills, consistently delivering to deadlines (budget and time)
• Strong leadership and management skills, with a proven track record of demonstrating maturity and leadership
• Potential for building strong relationships with auditees and managing upwards at senior levels
• Sound judgment on the criticality and impact of issues identified, with a risk and commercial focus

Benefits

The total compensation package for this position may also include other elements, including a sign-on bonus, restricted stock units, and discretionary awards in addition to a full range of medical, financial, and/or other benefits (including 401(k) eligibility and various paid time off benefits, such as vacation, sick time, and parental leave).

Pay

The pay range for this position at commencement of employment is expected to be between $180K and $200K/year. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

Schedule

The position is an "at-will" position and the Company reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.