Careers

Internal Audit Manager

📁
Internal Audit
📅
192056 Requisition #
About this Opportunity

The Audit Manager is predominantly focused on the management of the audit plan, driving the audit cycle for each of the assigned projects from start to finish, including the planning phase, fieldwork and report clearance. The Audit Manager's primary measure of success is the timely and successful completion of assigned projects and the audit plan, while identifying key risks and meaningful issues about the design and effectiveness of controls and ensuring that audit staff produces high quality work. The Audit Manager must manage a number of auditee relationships, be a good role model and team player, and develop staff under his/her responsibility.

 

 

Business Unit: Internal Audit

 

 

The Internal Audit Department's (IAD) mission is to deliver independent assessments of the organization’s overall control environment and to promote proactive risk identification and mitigation.


What You'll Do

  • Strategic Control Impact
  • Identify emerging and top risks, as well as controls to manage risks
  • Develop strong relationships with business partners.
  • Monitor and review staff work to ensure timely remediation of control issues
  • Support DTCC’s risk management priorities:
  • Take ownership for identifying risk, such as credit, market, liquidity, operational, legal, compliance, technology, and systemic, within his or her assigned areas of responsibility
  • Adhere to departmental risk policies, procedures and best practices
  • Identify opportunities for improving existing processes or creating new ones that more effectively anticipate, manage and reduce risk to DTCC and its participants
  • Maintain awareness of regulatory issues and comply with regulatory requirements
  • Comply with corporate initiatives, such as the New Initiatives Process (NIC), Management Self Identification of Issues, Management Control Awareness & Responsiveness (MCAR) , Operational Risk & Control Assessments (RCSA). etc.
  • Demonstrate the behaviors of and build competency with creating a risk management mindset
  • Audit Execution
  • Manage the audit lifecycle and communicate potential issues to the Team Leader and business.
  • Contribute to the development of the annual audit plan and periodic reassessment of risk coverage.
  • Consistently demonstrates an ability to complete high quality and risk-focused audits on time and on budget, notifying the Team Leader promptly of any possible impediments to success or when budgets might be exceeded
  • Review audit work performed by his or her staff to ensure audit documentation standards are adhered to
  • Develop and effectively communicate audit issue and reports with the Team Leader and business to facilitate timely report clearance.
  • Quality Process
  • Oversee all work performed by his or her staff to verify compliance with IAD’s policies and procedures, specifically for audit documentation and issue remediation standards.
  • Works with Audit leadership to continuously review and improve processes
  • Individual & Team Development
  • Effectively communicates to his or her team expectations.
  • Develops and maintains effective working relationships with IAD peers and business lines.
  • Coaches and develops his or her staff
  • Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior.

    Sound Like You?

    • Minimum of 7 years of related experience
    • Bachelor's degree preferred with Masters or equivalent experience


    Additional Qualifications

    • Excellent written and oral communication skills
    • Ability to manage multiple audit projects
    • Strong analytical and problem solving skills
    • Self-starter, with the ability to work independently and in teams
    • Attention to detail

    Who We Are

    With over 45 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From operating facilities, data centers and offices in 16 countries, DTCC, through its subsidiaries, automates, centralizes and standardizes the processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm simplifies the complexities of clearing, settlement, asset servicing, data management, data reporting and information services across asset classes, bringing increased security and soundness to financial markets. In 2018, DTCC’s subsidiaries processed securities transactions valued at more than U.S. $1.85 quadrillion. Its depository provides custody and asset servicing for securities issues from 170 countries and territories valued at U.S. $52.2 trillion. DTCC’s Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes over 14 billion messages annually. To learn more, please visit us at www.dtcc.com or connect with us on LinkedIn, Twitter, YouTube and Facebook.


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