Internal Audit
192108 Requisition #

As members of the Internal Audit department, we support the board of directors in their oversight of the governance, risk and control framework. Although team members are located globally, we have one universal goal – to raise awareness of control risk and promote changes for improving governance processes. Always having the client experience top of mind.


What We Offer

DTCC’s Internal Audit department is an innovative team that provides independent, objective assurance and advisory service solutions to assist in maintaining an effective system of internal controls. We are thought partners and advisors to the business, go-getters, and change agents who have a passion for identifying meaningful potential issues about the design and effectiveness of controls and creating reliable documentation.


Our Ideal Candidate

In our dynamic and collaborative environment, providing a best-in-class experience for all stakeholders is challenging in the risk control and governance process. That is where you come in. You love to assess the control environment, raise awareness, and promote changes in order to improve the governance process and provide exceptional experiences.


So, what does it take to be a DTCC Senior IT Internal Auditor?


You Will:

The Senior IT Auditor position is predominantly focused on leading audit projects covering Enterprise Infrastructure and Technology Risk Management by supporting all phases of the audit lifecycle under the guidance of a Team Leader and by managing and directing the daily activities of individuals assigned to work on those audit projects.


Internal Audit provides independent, objective assurance and advisory services of company policies and procedures to assist the enterprise in maintaining an effective system of internal controls. Internal Audit supports the Boards of Directors in oversight of the governance, risk and control framework.



  • Strategic Control Impact • Assesses the risk and control environment for processes within coverage areas • Identifies meaningful issues, and increases the velocity and sustainability of the mitigation plans and processes • Differentiates and articulates issues based on severity 
  • Establishes ongoing relationships with managers in the businesses or functions covered 
  • Works with business stakeholders to develop specific, measurable, achievable, realistic and timely (SMART) action plans to remediate control issues 
  • Works closely with auditees to verify timely progress and completion of agreed action plans and to the completion of those action plans 
  • Contributes to the development and execution of a continuous monitoring program for the businesses or functions covered 
  • Understands the financial services industry and has knowledge of regulatory requirements such as Covered Clearing Agency Standards
  • Audit Execution 
  • Leads all phases of an audit and provides guidance to junior staff to ensure that audit projects are completed effectively, on time, and within the allocated budget. 
  • Possesses and demonstrates a strong understanding of audit techniques 
  • Creates an effective risk-based audit program 
  • Independently oversees and contributes to the completion of risk-focused audit fieldwork, notifying the Team Leader promptly of issues that arise or when budgets or timelines are at risk 
  • Effectively communicates throughout the audit lifecycle while translating complex concepts and potential issues clearly with root cause analysis 
  • Assists the Team Leader with annual risk assessment and audit planning
  • Quality Process 
  • Demonstrates a strong knowledge of DTCC IAD policies and procedures, particularly work paper documentation standards 
  • Independently prepares and reviews work papers, ensuring they fully comply with IAD policies and procedures 
  • Participates in IAD continuous improvement initiatives
  • Individual and Team Development 
  • Proactively seeks opportunities to develop and broaden his or her professional skills and knowledge of audit techniques and methodologies, and of the products and functions within coverage areas 
  • Demonstrates a strong commitment to teamwork by demonstrating a willingness to assist peers and supervisors  
  • Seeks feedback for improvement and effectively applies that feedback to continuously improve
  • Coaches and mentors more junior team members


Candidates should possess: 

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

    Additional Qualifications
    • Beneficial, but not required, are certifications related to the incumbent’s coverage responsibilities, such as Certified Public Accountant, Certified Fraud Examiner, Certified Internal Auditor, Certified Information Systems Auditor, Certified Financial Analyst, or Certified Anti-Money Laundering Specialist.
    • Previous internal or external audit experience is ideal, but not required. Previous job experience for this position can and should vary greatly to meet the department’s goal of having a team with diverse perspectives and work experiences.
    • The incumbent for this particular position would benefit from having a background in financial services, particularly in securities clearance and settlement, corporate actions, and/or securities processing
    • Technical knowledge of cyber security risks and controls as they apply to network technology, operating systems,

databases, storage technologies, firewalls, intrusion detection systems, messaging systems, web applications

technologies, mobile platforms, data loss prevention, cloud computing, etc

    • Familiarity with operational processes, tools and control standard methodologies in running a complex IT

infrastructure platform, including systems monitoring, capacity management, resiliency, security/'access controls

·    Minimum of 5-7 years of experience performing integrated audits is typical for this role.

·    Bachelor's degree; preferred with Master’s or equivalent experience

·    Experience Identifying, assessing and advising on risks for large-scale projects, application controls, IT general computing controls (e.g., Information Security, SDLC, Change and Release Management, Application Security, Data Management, Database Security, Logical Access, and Job Monitoring, etc.) and business process controls (e.g., Enterprise Risk Management, including but not limited to Operations, Compliance, Legal, etc.) are highly desired.

·    Previous internal or external audit experience is preferred

·    Certifications related to the incumbent’s coverage responsibilities, such as Certified Public Accountant, Financial Risk Manager, Chartered Financial Analyst, Certified Fraud Examiner, Certified Internal Auditor, or Certified Information Systems Auditor are highly desirable 

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