Internal Auditor, Senior Specialist

Implement organization strategies through the effective direction and management of resources, while being accountable for the business strategies, functional or operational areas, processes or programs. Responsible and accountable for managing and developing a team of people, setting direction and deploying resources on varying projects, participating in organization-wide projects, while providing guidance and expertise on an as needed basis. Managers are required to understand how other business units operate, how their goals align with organizational goals and have budget and profit/loss responsibility. Assesses the quality of controls across all risks areas including, but not limited to operations, finance, regulatory, technology, M&A, and clearing. Develops, plans and evaluates internal audit programs for the organization's accounting, statistical records and the organization’s technology systems and the activities of various departments to ensure compliance with the organization's policies, procedures and standards. Ensures the effectiveness of internal controls in compliance with corporate objectives and government standards, such as Sarbanes-Oxley Act (SOX). Audits information systems and applications. Prepares reports for management on the results of audits, providing recommendations on improvements.

• Builds, manages, and provides leadership to a team of professional staff (may include other managers); performs other talent management and development decisions as needed.
• Develops and establishes functional strategy and tactics to ensure successful completion of work that meets or exceeds client and/or organizational expectations.
• Manages resources and takes accountability for the performance and results of multiple related teams.
• Develops departmental/functional plans, including business unit and/or production priorities, to address resource and operational needs and challenges.
• Identifies, establishes and maintains relationships with key stakeholders, decision-makers and influencers internally and externally.
• Provides subject matter expertise to clients, team members, colleagues, etc. on projects.
• Participates in both internal and external projects that are broad in scope and closely tied to the organizational strategy.
• Conducts regular status and strategy meetings with internal and external teams to understand risks, priorities, etc. and ensure a successful end result.
• Evaluates current business processes and systems, ensuring cost-savings and risk control.
• Coordinates financial and budget activities for maximum operational efficiency.
• Reviews team and individual performance data (financial, sales and activity reports) to monitor and measure productivity, goal progress and activity levels.
• Motivates, develops, recruits and retains employees while rewarding and cultivating a culture of high performing teams.
• Executes and at times leads the execution and reporting on the quality of controls across all risk creating areas including, but not limited to operations, finance, regulatory, technology, M&A, and clearing.
• Leads and performs responsibilities on multiple concurrent projects, managing conflicting priorities to achieve results on time and remaining accountable when managing through unintended impediments and adjusting scope and resources as necessary.
• Plans and oversees the planning, interviewing, and assessment of controls and procedures of specialized and complex audit assignments, ensuring appropriate audit tools are utilized.
• Designs testing of controls and procedures of complex audit assignments.
• Provides an educative and consultative approach when counseling smart control recommendations.
• Reports findings by writing the internal audit recommendation, ensuring alignment with corporate and regulatory standards.
• Advises more junior auditors.
• Utilizes automated audit tools as an integrating part of audit planning when appropriate.

• Education Required: Bachelor’s Degree in Business Administration, or a related discipline, i.e. Computer Science or Information Systems. Advanced degree preferred.
• Experience Required: At least 7 years
• Special Qualifications: Professional auditing certifications and proficiency in servers, operating systems and databases