JOB SUMMARY The Head of Internal Audit – Information Security, Information Technology, Data & Corporate Operations is responsible for leading the delivery of value-added independent internal audit assurance services over Information Security, Information Technology & Corporate Operations functions. Through well-developed relationships with Executive Management, oversees the development of a comprehensive, dynamic audit plan, and directs a team of audit professionals in the implementation and completion of the plan while maintaining responsibility for the overall quality of audit work performed. Serves as a key contributor with respect to the long- term strategy, value proposition, continued growth, and success of the Audit Department providing both leadership and management for key functions within the Internal Audit Practice. Participates in committees as relevant, such as preparing and making presentations to senior management. Has leading role in communications and presentations with regulators and external stakeholders.
JOB RESPONSIBILITIES
Direct the work of assigned team of professionals to achieve completion of internal audits of Information Security, Information Technology, Data & Corporate Operations functions. Activities include (but are not limited to):
- Establish and maintain key business relationships with internal and external stakeholders in order to optimize effectiveness.
- Provide leadership and oversight to ensure teams are completing their assigned portions of the Audit Plan in a timely manner, in accordance with IIA Standards.
- Deliver high quality, actionable feedback to auditees on control issues and potential solutions to close gaps, with relevant reporting to the Audit Committees.
- Complete final review of draft reports prior to submission to Chief Audit Executive.
- Organize and monitor complex sets of activities, projects, people and resources over extended periods of time.
- Recommend and implement changes to methods of performing work.
- Provide subject matter expertise to audit partners and ensure comprehensive audit coverage of owned risk domains.
- Remain current with industry trends and emerging risks to update audit coverage as appropriate.
Assist the Chief Audit Executive with department or cross functional initiatives and special projects. Assist in preparation of a comprehensive risk-based, multi-year plan of audit coverage. Works closely with the Chief Audit Executive to periodically review and assess overall performance, staffing and development needs of the Internal Audit function.
Complete performance reviews and requisite administrative activities for all assigned direct reports. Coordinate resources to maximize audit effectiveness & efficiency and enhance staff development.
- Responsible for talent management functions including: employment, performance evaluations, staff development/training, disciplinary actions, succession planning and ensuring all staff comply with compliance requirements.
ADDITIONAL RESPONSIBILITIES
- Performs special projects, and additional duties and responsibilities as required.
- Consistently adheres to regulatory and compliance policies and standards linked to the job as listed and complete required compliance trainings. Accountable to maintain compliance with applicable federal, state and local laws and regulations.
JOB REQUIREMENTS
Required Qualifications:
- Education level required: Undergraduate Degree (4 years or equivalent) in Information Technology, Accounting, Finance, or Business Administration or related field.
- 15+ Years of progressive audit or risk management experience with a significant portion in the financial services industry, preferably with a large financial services firm with subject matter expertise in Information Technology. Information Security, IT Risk and Controls and IT General Controls.
- Five or more years of experience in a managerial role.
Preferred Qualifications:
- Education level preferred: Master's Degree (or Postgraduate equivalent).
- Financial institution industry experience is highly preferred.
- Previous experience working with a public accounting or risk advisory firm is preferred.
- CIA, CPA, CISA, CRCM, or CFE preferred.
Job Competencies:
- Comprehensive knowledge of relevant laws and regulations impacting financial institutions.
- Excellent knowledge of IT frameworks such as COBIT, NIST, ISO.
- Excellent knowledge of Data, Data Lineage and Data Flows.
- Strong knowledge of internal audit best practices and industry standards.
- Superior oral and written communication; comfortable making presentations to executives, groups of professionals, external auditors, and regulators.
- Excellent quantitative and analytical skills along with a focused attention to detail.
- Collaborative and takes ownership to ensure the quality of the audit team's product and success.
- Ability to influence and effect change; be viewed as a trusted advisor.
- Proactive thought process, with an ability to foresee potential risks ahead of business decisions.
- Strong project management skills, with the capability to prioritize multiple demands.
- Possess business acumen and judgment plus ability to resolve and communicate key issues to all levels.
- Physical demands (ADA): No unusual physical exertion is involved.