Accounting / Finance / Tax / CS / Audit
3 - 5 Yrs
risk management,corporate governance,finance,legal,compliance,regulatory reporting,human capital management,services,sql,java,c#,c++,python,audit,testing,qa
Internal Audit is organized into below global teams of business and technology auditors:
• Corporate - covers the firm’s Risk Management, Corporate Governance, Finance, Legal, Compliance, Regulatory Reporting, Human Capital Management, Services and the Executive Office.
• Securities- covers the firm’s Equities, Fixed Income, Currency and Commodity trading businesses, Investment Banking and Global Investment Research businesses; and related supporting control functions such as Operations, Technology, Product Control and Compliance.
• Investment Management - covers the firm’s, Private Wealth Management, Asset Management and Merchant Banking businesses.
• Technology Infrastructure - covers Infrastructure, Technology Risk, Governance and Enterprise Platforms.
Participation in planning and scoping audits, meeting with key people within the area being reviewed to understand and walk through the business and technology processes and identifying the key risks and controls to be assessed.
• Assist the risk assessment, scoping and planning of an audit.
• Assist in executing the audit. Specifically focusing on the following:
• Analyze the design of controls around the underlying system architecture in thecontext of application controls or information technology controls and its impact on the business. o Analyze the business and technology processes to evaluate the design andeffectiveness of the relevant technology controls by designing and executing tests tovalidate identified system control features, which may require data analysis, code inspection and re-performance of system processes. o Document the results of the test steps executed as per the Internal Audit guidelines.
• Assist in vetting audit observations
• Assist in tracking, monitoring and recording remediation of risks identified in audits.
Required Skills / Qualifications
• BE/B Tech/MCA/MBA in Systems/MSc or equivalent University degrees in technology.
• Ability to review / develop code (Languages like Java, C#, C++, Python are preferred)
• Must be proficient in Excel and / or SQL
• Experience in application technology audit, or application development, or technology consulting or other relevant industry experience.
• Technology audit skills including an understanding of:
o System Development / Programming Languages o Databases o System Architecture o Operating Systems o Data analysis skills (SQL, Python, ACL, or similar tools) o Network Security and Architecture (Cyber security, infrastructure and platforms)
• Ability to work effectively across multi-regional audit teams
• Good written/verbal communication skills with strong interpersonal skills are essential.
• Highly motivated with the ability to multi-task and remain organized in a fast-paced environment
• Strong analytical skills, willing and able to learn new business and system processes quickly
• Relevant Certification or industry accreditation (CISA, CISSP, or pursuing CFA etc.) useful but not required
• Knowledge of Financial Products, or Financial Services is preferred
Technology Auditor, Senior Analyst or Junior Associate role -
• Engineering background with basic coding understanding
• Experience in Audit, Testing, QA, or Tech Risk experience is an advantage
• 5 years’ work experience max
• Interest in audit profession