IT Audit Lead (Prestigious Asset Management Firm)

New York, NY

Posted: 09/19/2018 Employment Type: Direct Hire Job Category: Audit Job Number: 69
Client Overview
Our client is a privately-held financial institution and has been a thought leader and solutions provider for almost 200 years. They serve the most sophisticated individuals and institutions with award-winning expertise in Investment Management, Private Banking, and Investor Services. Their 5, 000 colleagues operate from 18 cities throughout North America, Europe and Asia.

Job Description and Synthesis
Internal Audit provides services that assist client' s businesses and support areas in improving their control environments, streamlining their businesses, and achieving operational excellence. Working as part of an audit team, the Audit Project Leader- Compliance IT/Systems leads integrated audits   and has responsibility for evaluating risks and controls (particularly with respect to systems and applications) in the context of executing audit reviews, supervising and reviewing the work of other audit personnel, proactively monitoring audit budgets and deadlines, communicating findings/issues and recommendations to senior audit team members and management, and following-up on corrective actions.   The Audit Project Leader will need to work effectively in a team setting to perform audit work in accordance with department and professional standards, and complete assignments in an efficient manner, with sufficient attention to detail, to ensure accuracy and thoroughness of audit coverage.

Specific Responsibilities
  • Individually and as part of a project team, develop, execute, and document control evaluation
  • Evaluate the system of internal controls and prepare risk assessment matrices, audit programs and audit planning memos as appropriate
  • Organize and analyze audit data and summarize audit findings for management review
  • Assess and escalate issues identified during audit assignments or special projects
  • Participate in discussions of audit results with management
  • Supervise/review junior teammates on their fieldwork
  • Apply and leverage current and emerging audit tools and techniques in data analysis
  • Perform technical research using external and internal source material
Key Qualifications
  • Bachelor’ s degree in Finance, Accounting, Information Technology or related disciplines
  • 3-5 years of Audit, consulting or relevant business line experience
  • Proficiency in risk analysis and report preparation
  • Strong analytical skills
  • Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
  • Works well individually and in teams by sharing information and supporting colleagues
  • Effectively supervise/coach, motivate and provide feedback to more junior teammates
  • Knowledgeable in local regulatory requirements is helpful: Regulators (New York State Department of Finance, OCC, etc.) with Know Your Customer " KYC" / Anti Money Laundering " AML" / USA PATRIOT ACT Experience
  • Areas of expertise should ideally include most of the following: 1. Access control software 2. Business process mapping 3. Security architecture and administration 4. Security policies and standards 5. Operating systems (Windows NT, UNIX/Linux, MVS) 6. Database platforms (SQL, Oracle, DB2) 7. System Development Life Cycle
  • Able to multi-task effectively, juggle several components of an audit at the same time
  • Knowledge of the following systems and expertise validating models is helpful: Fircosoft,. Actimize
  • Professional certification (CPA, CIA, CISA) preferred
IT Audit, IT Auditor, IT Assurance, IT Compliance

Spencer Knibbe
Managing Partner

Spencer is the Founder and Managing Partner of MBK Search, LLC - an executive search firm that specializes in the governance, risk, compliance, and cybersecurity market space. Prior to founding MBK, Spencer was Head of Operational Risk at Bridgewater Associates. Before moving to Bridgewater, Spencer was the Head of Risk for ICAP, Plc covering the Americas Region. He started his career in venture capital as an investment associate.

Spencer graduated from Harvard University in 2001 and resides in Ridgefield, CT with his wife and two sons.

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