IS Auditor III/IS Audit Project Leader recruitment
Job Summary Conduct IS 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 IS audits (Information Technology (IT) reviews and new Development Reviews (DRs)) of moderate to high complexity either working independently or as a member of an audit team. Duties include performing the planning, fieldwork, reporting, and follow-up phases of assigned audits with limited 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).
- Assist Business Area audit teams on business process (integrated) audits by evaluating the application controls of systems that support the business process under review, and developing computer assisted audit techniques (CAATs) to facilitate the testing of controls. Support Business Area audit teams in performing Development Reviews (DRs) as assigned.
- Document and communicate audit results both orally and in writing in an objective, clear, concise, constructive, and timely manner. Depending on level, a minimal to moderate amount of editing of audit reports by the Director (IS Audit) and the SVP of Internal Audit and work paper review comments are expected.
- Stay abreast of new or emerging information technologies, products, and best practices.
- Assist Director (IS Audit) in the following areas: (1) Offer suggestions to improve departmental processes and procedures; (2) Perform administrative tasks such as audit-related time reporting and continual updating of the FINRA Audit Management Information System (NAMIS).
- Perform special projects as assigned.
IS Audit Project Leader only:
- Conduct IS audits (Information Technology (IT) reviews and new Development Reviews (DRs)) of moderate to high complexity either working independently or as a member of an audit team, but may also be the auditor-in-charge.
- Develop 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.
- Provide on-the-job training for assigned staff with respect to audit techniques and administration, and offer input into their performance evaluations.
QualificationsEducational/Experience Requirements:IS Auditor III
- Bachelor's degree in Computer Science, MIS, or related field
- Minimum of 5 years IS auditing experience and/or application development or technical experience related to Unix, Linux, Windows platforms, or Oracle.
- Experience with SAS, ACL (Data Analytics) highly preferred.
- Excellent teamwork and verbal and written communication skills
- Professional certification (such as CISA, CPA, CIA, or CISSP) and/or advanced degree desirable.
IS Audit Project Leader
- Bachelor's degree in Computer Science, MIS, or related field
- Minimum of 7 years IS auditing experience and/or application development or technical experience related to Unix, Linux, Windows platforms, or Oracle.
- Experience with SAS, ACL (Data Analytics) highly preferred.
- Excellent teamwork and verbal and written communication skills
- Professional certification (such as CISA, CPA, CIA, or CISSP) and/or advanced degree highly desirable
Working Conditions:
- Work is normally performed in an office environment, with extended hours when necessary.
- Some travel required (less than 20% annually).
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.
November 18, 2011
• Tags: Accounting & Finance careers in the USA, IS Audit Project Leader recruitment, IS Auditor III • Posted in: Financial