Internal Audit-Asset & Wealth Management Engineering, Vice President, Dallas

As a Technology Auditor, you will be involved to provide assurance on the data integrity and quality, applications stability and system operations etc. used for the purposes of portfolio construction and management, deal workflows, investment research flows, reporting for internal and regulatory purposes, along with other general technology controls.

Your Impact

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.

Responsibilities

For each assigned review you will report to an experienced project manager. You will be expected to:

• Assist/Lead the risk assessment, scoping and planning of a review.
• Assist/Lead in executing the review. Specifically focusing on the following:
• Analyze the design of controls around the underlying system architecture in the context of information technology controls and its impact on the business.
• Analyze the business and technology processes to evaluate the design and effectiveness of the relevant technology controls by designing and executing tests to validate identified system control features, which may require data analysis, code inspection and re-performance of system processes.
• Document the results of the test steps executed within the IA automated document project repository as per the departmental guidelines.
• Assist/Lead in vetting audit observations
• Assist/Lead in tracking, monitoring and recording remediation of risks identified in reviews.

Basic Qualifications

• BE/B Tech/MCA/MBA in Systems/MSc or equivalent University degrees in technology
• At least 10 years of experience in technology audit focusing on Financial Services Technology audit.
• Technology audit skills including an understanding of:
  
  
  
  • System architecture, with high level understanding of databases, operating systems and messaging
  • Prior experience of testing automated IT application controls
  • System Development / Programming Languages
  • Databases
  • Application security principles
  • System development lifecycle (SDLC)
  • Management, monitoring and operations of technology (backups, change management, system monitoring, incident/problem management)
  • Business continuity planning and disaster recovery design and implementation
  • Security within the software development lifecycle
  
  
• Experience in managing audit engagements or technology projects
• Relevant Certification or industry accreditation (CISA, CISSP, etc)
• Ability to work effectively across a large global audit team, understanding the team's role in the overall strategy of the firm
• Strong Written and verbal communication skills a must; strong interpersonal skills essential. Job requires frequent interaction with technology management
• Must be able to multitask while managing both time and work load

Preferred Qualifications

• Financial Services knowledge and financial product knowledge is preferred
• Experience with Data Analytics tools and techniques
• Ability to review code (Java, C#, C++, Python, VBA macros etc.)
• Relevant certification or industry accreditation (e.g., CISA, CISSP etc.)