This is an exciting opportunity to join the CIB Markets Technology Audit Team. Our Internal Audit Department is an independent function accountable to the Audit Committee of the Board of Directors, the Office of the Chairman, senior management and our global and local regulators. Internal Audit is comprised of more than 1,000 auditors, located in key locations across the globe, and is responsible for assessing the adequacy of the control environments across the firm's lines of business.

Job Description

This role is for an experienced IT audit professional to join the CIB Technology Audit Team covering Markets – Equities, Prime Finance, Sales, Marketing & Research. As an Audit Director, in our Internal Audit group you will strengthen internal controls.

The Commercial & Investment Banking (CIB) Audit team is responsible for assessing the adequacy of the control environments across all of CIB, which includes Global Banking, Markets, Payments and Securities Services. This is achieved through a program of audit coverage, which is performed and managed by a global team of integrated technology and financial business audit specialists. 

As an Audit Director within the Commercial & Investment Banking (CIB) Markets Technology Audit team, you will be responsible for managing and leading Technology Audit’s coverage of the CIB line of business specifically Equities, Prime Finance & Sales, marketing & research sub lines of business. This will include management of audit execution, validation of audit issues, regulatory coordination and completion of continuous monitoring activities including stakeholder management.

Job responsibilities

Manage large and complex audit deliverables from planning to reporting, and produce quality deliverables to both department and professional standards. Review audit work in accordance with department and professional standards, and complete assignments in an efficient manner. Oversee all aspects of audits including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow up and verification of issue closure. Performing detailed risk and control assessments across CIB processes. Finalize and communicate audit findings and use judgment to provide an overall opinion on the control environment. Build and maintain relationships with Markets technology senior stakeholders, establishing a culture of engagement whilst adding value. Actively participate in key governance forums to provide independent challenge to management on control matters. Contributing to the resolution of complex and time sensitive regulatory and audit issues. Drive a culture of innovation through automation of controls to enhance audit coverage. Understand the stakeholder priorities and provide independent feedback on control enhancements/implementation. Effectively manage and lead the Audit team, performing timely review of work performed and providing honest and constructive feedback to proactively manage performance and enhance skills across the team. Understand the team’s strengths and areas of development and guide the team in achieving their individual goals whilst giving them opportunities to enhance their skills.  Prioritizing diversity & inclusion by creating an environment where all team members are able to contribute to their full potential. Fostering feedback by providing and soliciting timely, actionable feedback to help each team member improve and grow. Work closely with business and technology audit colleagues to ensure that key risks are identified and assessed in the program of audit coverage. Manage regulatory coordination for technology areas especially during regulatory examinations and other activities.

Required qualifications capabilities and skills

10+ years of internal or external technology auditing experience. Bachelor's degree (or relevant financial services experience).  Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner. Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness. Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management, and influence change. Proven ability to develop and maintain strong professional relationships with key stakeholders. Excellent interpersonal, leadership and coaching skills. The ability to work effectively within a team, both locally and globally, share information, support colleagues and encourage participation. Proven ability to implement long-term enhancements across different areas within the firm by leading and actively participating in departmental working groups. Proven ability to multitask and deliver effectively under pressure, as well as the ability to assess and change priorities.  Related professional certification such as CISA, CISSP, or CIA. Strong knowledge of coding, data analytics and/or distributed technologies. Prior experience with Big 4 accounting firm and/or internal audit department in financial services industry.

Preferred qualifications capabilities and skills

Degree and background in Technology.  Related professional certification such as CISA, CISSP, or CIA. Strong knowledge of coding, data analytics and/or distributed technologies. Prior experience with Big 4 accounting firm and/or internal audit department in financial services industry.