Responsible for delivery of moderately complex components within a comprehensive IT audit plan and supporting activities that provide independent, objective assurance and advisory services, designed to add value and improve FINRA's operations.
Essential Job Functions:
- Risk Assessment and Development of Dynamic Audit Plan - Responsible for maintaining a comprehensive understanding of internal and external risk within complex areas of subject matter expertise. Through proactive communication with senior management and participation in key initiatives, provides input to the Senior Director and Director to support development of a dynamic Internal Audit Plan for related risks, and execution of audit activities against the areas of highest risk.
- Execution of Audits and Development Reviews - Responsible for planning assigned audits (typically within areas of moderate complexity) and exercising subject matter expertise to propose audit scope. Accountable for workpaper review, ensuring that fieldwork completed by auditors is timely and of high quality. Drafts audit reports and provides key input to risk and severity of observations. Conducts fieldwork of highly complex or technical functions and risks within areas of subject matter expertise.
- Development and Execution of Continuous Audit/Monitoring Plan - Provides Senior Director and Director with consultative input within areas of subject matter expertise in support of a continuous auditing/monitoring strategy. Responsible for identification of activities performed by the 1st and 2nd lines of defense, the identification of analytical opportunities and timely execution of related continuous auditing activities within moderately complex areas.
- Consulting and Support of Key Management Activities - May identify organizational initiatives that impact the risk profile of FINRA or Internal Audit entities. Recommends approaches for audit involvement. Represents Internal Audit in tactically initiatives of moderate complexity.
- Support of Departmental Strategic Initiatives - Plays a key role in multiple assigned departmental strategic initiatives, leveraging subject matter expertise.
- Staff Development - Mentors junior team members. Provides consultative advice on team-wide training initiatives. Responsible for providing team members with appropriate and adequate on-the-job training and professional development opportunities. Provides timely Performance Level feedback (PLF).
Other Responsibilities:
- Perform special projects as assigned. [5%]
Education/Experience Requirements:
- Bachelor’s degree in MIS, Business, or related field (or equivalent work experience).
- Minimum of 9 years IS auditing experience and/or application development or technical support experience related to AWS, Azure, Windows Enterprise, RedHat.
- Excellent teamwork and communication skills.
- Professional certification (such as CISA, CPA, CIA, or CISSP), and/or advanced degree is/are highly desirable.
Work Conditions:
- Some travel required; less than 20% annually.
For work that is performed in CA, Washington, DC, CO, HI, New York, NY and WA, the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.
California: Minimum Salary $124,300, Maximum Salary $235,500
Washington, DC: Minimum Salary $124,300, Maximum Salary $225,700
Colorado/Hawaii: Minimum Salary $108,200, Maximum Salary $196,200
New York, NY: Minimum Salary $129,800, Maximum Salary $235,500
Washington State: Minimum Salary $108,200, Maximum Salary $225,700
#LI-Hybrid
To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.
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.
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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance. Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal. FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits.
Time Off and Paid Leave*
FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.
*Based on full-time schedule
FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a...
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