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Director, Internal Auditor IT
Options Clearing Corporation
Chicago, IL, United States
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Job Details:
The Director, Internal Audit (IA) (Technology & Operations) will provide leadership support across the organization in executing strategic goals of the internal audit function. This position will lead and direct IA services, teams and deliverables related to OCC Technology and Operations. The incumbent will be a support leader for enterprise wide IA infrastructure including but not limited to Policies, Procedures, Standards, Guidance, Audit Universe, Risk Assessments, Controls Advisory, Co-Sourcing Management, Service Quality, Regulatory Management and Stakeholder Management.
This position will oversee the quality execution of internal audits and special projects in accordance with IA Department Policies and Procedures. The Director IA will be accountable for completion and presentation of comprehensive audit reports identifying key risks and appropriate resolutions within the Technology and Operations processes including supporting complex business process portfolios, as well as additional elements, of the IA universe. This position will also provide technology, cyber security, operations, process optimization, program management and related risk, controls and process guidance to senior management, maintain effective relationships with senior and business line leadership and support management in achievement of their goals. The Director IA will have regular interaction with a variety of stakeholders and manage expectations. Stakeholders may include among others, OCC risk management and internal control functions and the SEC, CFTC, Federal Reserve Bank and external auditors.
The Director IA will manage a staff of Audit Managers and Auditors and well as Co-Source programs and teams.
Responsibilities:
• Support the design, execution and maintenance of IA infrastructure (programs/ processes, technology, human capital) to meet the requirements of Regulators, IIA Standards and OCC’s designation as a SIFMU/ Central Clearing Party (CCP).
• Partner with IA and business leaders to perform annual and periodic risk assessments leading to the development and maintenance of a comprehensive risk based audit plan. Plan must provide comprehensive and effective coverage for direct and contributing OCC Technology and Operations and related processes.
• Provide leadership direction to teams in establishing detailed scope requirements, timelines, processes and budget.
• Oversee, direct and quality assure internal audits and special projects within assigned portfolio. Ensure audits adhere to industry standards, regulatory requirements and OCC policies, and are complete, accurate, timely and managed against budgets.
• Manage results of the audits and advise senior management on improving controls and processes to mitigate risks.
• Manage internal audit requests from regulatory organizations and external auditors providing timely and accurate responses.
• Maintain effective relationships and support management in achievement of goals.
• Lead audit staff providing clear direction, measurable performance expectations, coaching, feedback and recognition/ motivation.
• Stay current with best practices in information technology, cyber-security, financial services industry, regulatory landscape, developments and innovations in the internal audit profession and technology operations/compliance areas, making recommendations for improvements as necessary.
• Effectively present ideas and recommendations orally and in writing to staff and senior management as necessary.
• Exhibit leadership consistent with OCC leadership standards.
• Provide leadership for managers (1-2), staff (3-6) and Co-Sourcing teams.
Qualifications/Technical Skills/Education:
• Leadership experience in internal audit procedures, including audit planning and risk assessment techniques and methods used to examine, verify, and analyze financial and operating records, statements, and reports, in accordance with the requirements of the International Standards for the Professional Practice of Internal Auditing.
• Functional and IA experience in Technology and Operations of a CCP (or similar) with complex high throughput online transaction processing (OLTP) preferably within a SIFMU (or similar) organization, with a good understanding of the underlying regulatory environment.
• Ability to understand the interaction between complex technology, regulations and business processes; ability to develop and articulate insights.
• Experience performing risk assessments and assessing design and operational effectiveness of applicable controls.
• Experience with enterprise technology, cyber-security, resilient processing and optimized business process concepts is required.
• Experience with business application systems and related internal control concepts, and information systems from an audit and control perspective.
• Ability to understand how business requirements drive technology implementations, and how these are utilized by the business to achieve its mission and objectives.
• Strong proficiency using TeamMate, Archer or other audit software or eGRC tool.
• Position requires a Bachelor's degree or equivalent.
• Advanced degree preferred in Business Administration, Economics, Risk Management, Finance, Information Technology, Operations or a related field.
• Minimum of seven years of experience leading/managing teams to conduct risk based audits and projects, business process reviews and internal audits across various environments.
• Experience in financial services/security industry including working with regulatory organizations such as the SEC, CFTC, Federal Reserve Bank, is preferred.
• Experience within Capital Markets, SIFMU, and/or CCP and/ or Financial Services preferred.
• Demonstrated success in leading audit projects and implementing audit best practices in a complex technology environment. Demonstrated success identifying operational and regulatory risks in highly complex IT environment and implementing controls/processes to mitigate the risks.
• Exceptional customer service and collaboration skills required. Strong influence, analytical and verbal/written communication skills required.
• Certification as either a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), or Certified Public Accountant (CPA) preferred. Additional qualifications or certification in Information Security, Operations, Risk Management, Financial Risk or Assurance are a plus.
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