Internal Audit - Technology -Auditor -Associate
- Job id
- Full/Part Time
Job Summary & ResponsibilitiesInternal Audit independently assesses the firm’s internal control structure. We provide assurance that financial reporting is reliable, that there is compliance with applicable laws and regulations and that the firm’s operations are effectively controlled. We assist management in commercially managing risk by providing advice in developing control solutions and monitoring the implementation of management’s control measures. IA assists the firm’s Board of Directors’ Audit Committee in fulfilling its oversight responsibilities and regularly interacts with the external independent auditors.
Internal Audit is organised into global teams of business and technology auditors:
Capital Markets - covers the firm’s Securities, Investment Banking and Global Investment Research businesses.
Investment Management - covers the firm’s Private Wealth Management, Asset Management and Merchant Banking businesses.
Corporate - covers the firm’s Risk Management, Corporate Governance, Finance, Legal, Compliance and Regulatory Reporting areas as well as Human Capital Management, Services and the Executive Office.
Enterprise Technology – covers the technology infrastructure functions of the firm.
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 presenting the scope, progress and results of the review to internal stakeholders.
Assist/ Lead in executing the review. Specifically focusing on the following:
o Analyze the design of controls around the underlying system architecture in the context of information technology controls and its impact on the business.
o 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 the report preparation
Assist/Lead in tracking, monitoring and recording remediation of risks identified in reviews.
Assist in Continuous Monitoring of technology business units to pro-actively identify changes to the risk profile of the business
Basic QualificationsSKILLS / EXPERIENCE
4+ years of relevant experience in application technology audit, application development, SQA, information security, technology consulting or other relevant industry experience.
Experience of using, auditing or having understanding of a combination of the following technologies:
o Programming languages like C, C++, C#, Java, Perl etc
o Databases (Sybase, Oracle etc)
o System Architecture (Distributed/Messaging/Mainframe)
o Operating Systems (Linux etc)
o Infrastructure Controls(Networks, Voice, Backups, Storage, data centres etc )
Experience in data analysis using SQL, ACL, or similar tools.
Relevant Certifications or industry accreditations (CISA, CISSP, CISM etc.).
BE/B Tech/MCA/MBA in Systems/MSc or equivalent University degrees in technology.
Experience in managing audit engagements or technology projects.
Strong interpersonal, written and verbal communication skills as the job requires frequent interaction with technology and business management.
Functional Expertise - Keeps up-to-date with emerging technology, business and market trends
Technical Skills - Demonstrates strong technical skills required for the role, pays attention to detail, takes initiative to broaden his/her knowledge and demonstrates appropriate financial/analytical skills
Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards extremely challenging goals and persists in the face of obstacles or setbacks
Client and Business Focus - Effectively handles difficult requests, builds trusting, long-term relationships with clients, helps the client to identify/define needs and manages client/business expectations
Teamwork – Gives evidence of being a strong team player, collaborates with others within and across teams, encourages other team members to participate and contribute and acknowledges others' contributions
Communication Skills - Communicates what is relevant and important in a clear and concise manner and shares information/new ideas with others
Judgement and Problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives. Sees the big picture and effectively analyses complex issues
Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value
Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions. Takes a position on issues and influences others' opinions and presents persuasive recommendations