Internal Audit, Technology Audit, Compliance and Legal, Vice President, Dallas

TEAM OVERVIEW

Compliance and Legal Technology IA team is responsible to primarily cover Compliance and Legal Engineering functions including firm-wide Surveillance Monitoring, AML and Sanctions Screening, Control Room Compliances, etc. As a CL Technology Auditor, you will be involved to provide assurance on the data quality, surveillance system logic, metrics generation, along with General technology controls for underlying applications.

RESPONSIBILITIES

As part of the third line of defense, you will be involved in independently assessing the firm's overall control environment, and communicating the results to the firm's local and global management the effectiveness of the firm's controls that mitigate current and emerging risks, and monitoring the management's implementation of control measures. In doing so, you are supporting the provision of independent, objective and timely assurance around the firm's internal control structure, and supporting the Audit Committee, the Board of Directors and Risk Committee in fulfilling their oversight responsibilities.

You will play a vital role in the scoping and planning of the audits, deploy audit and analytical procedures and techniques to assess the design and operating effectiveness of the controls to mitigate the risks, and discuss the results with the firm's local and global management. Specifically, you will:

• Assist the risk assessment of the business units to identify the key risk areas
• Assist/lead the audits through their end-to-end lifecycle, including scoping and planning, meeting with key stakeholders within the area being reviewed, identifying key risks and controls to be assessed, executing audits, reviewing audit documentation, and reporting audit results. Specifically focus on the following:
  
  
  
  • Analyze the design of controls around the underlying system architecture in the context of application controls or information technology controls, and its impact on the business.
  • Design and execute testing approach to verify the effectiveness of the key controls identified in line with IA Methodology, which may require data analysis, code inspection and re-performance of system processes.
  • Document the test work performed and results as per the Internal Audit guidelines.
  
  
• Assist in vetting audit observations with stakeholders.
• Assist in tracking, monitoring and validating remediation of the risks identified in the audits.

SKILLS AND RELEVANT EXPERIENCE

• 6+ years of experience as a technology auditor, leading audits covering IT application and general controls, performing risk assessments, prepare audit plans, building stakeholder relationships, presenting audit scope, findings to senior management
• Experience of managing teams across locations
• Understanding of software development and system architecture
• High level understanding of databases, operating systems and messaging
• Proficiency in Excel
• Strong written and verbal communication skills
• Understanding of Financial Crime Compliance, Sanction screening, Anti Money Laundering and common financial products
• Proficiency in SQL, R, or other data analysis languages
• Ability to review (Java, C#, C++, Python, VBA macros etc.)
• Experience with Data Analytics tools and techniques
• Relevant certification or industry accreditation (e.g., CISA, CISSP, CAMS)