This role will lead audits related to complex technology environment, business processes and support the strategic goals of the audit function. The Associate Principal is responsible for understanding the complexity of the IT and Security operations and aligning audits to relevant regulatory, IT, information security, operational, and strategic risks and presenting recommendations for improvements to senior leadership.
Responsibilities
Ability to clearly articulate professional principles and standards (i.e., AICPA, IIA IPPF, COBIT, NIST CSF, etc.) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls
Maintaining an understanding of policies, procedures, standards, and supporting technologies to effectively identify potential risks and creative alternatives to mitigate risk exposure
Keeping current on leading practices and emerging risks in IT, information security, and cyber security within the financial services industry and making recommendations for enhancements, as necessary
Defining and leading the execution of audit projects in accordance to the annual audit plan
Owning the audit quality, accuracy of results, and delivery in a timely manner
Providing oversight and coaching the internal team, both internal and/or co-sourced resources, confirming the delivery, quality, and auditee experience
Planning, leading, and reporting for risk based special request audit assignments
Proactively identifying regulatory, IT, information security, operational, and/or strategic risks to the organization and deliver recommendations for improvements to senior leadership
Identifying and analyzing root cause exceptions or inefficient practices and partnering with management provide advice and recommendations develop achievable solutions
Developing, maintaining, and strengthening effective relationships with IT, business groups and leadership and partnering with management
Serving as a liaison with external parties and regulators to facilitate timely and efficient external reviews, knowledge transfer, and controls and process education
Perform other duties as assigned
Qualifications & Experience
[Required] Knowledge of the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA)
[Required] Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports
[Required] Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions
[Required] Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion
[Required] Demonstrated leadership and coaching abilities of staff level resources
[Required] Strong problem solving and analytical capabilities
[Required] Demonstrated previous success in leading audit projects and implementing audit leading practices in a complex technology environment
[Required] Strong customer service and collaboration skills required
[Required] Effective influence, analytical and verbal/written communication skills required
Technical Skills & Background
[Required] Advanced proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software
Certifications
[Preferred] Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or similar certification required
Education & Training
[Required] Bachelor's degree (or equivalent) in Information Technology, Accounting, Finance, Business Administration, or related field
[Required] Experience working in a complex, fast paced environment required
[Required] 5+ years of audit experience in conducting IT risk-based audits and projects, and IT process reviews
[Preferred] Consulting/accounting firm experience is a plus
[Preferred] Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and/or Financial Industry Regulatory Authority (FINRA)is a plus
Contact: rkrebs@judge.com
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