Senior IT Auditor

Under general supervision of the VP, IT Audit, the Senior IT Auditor conducts IT audits to provide technology and senior management with an independent assessment of whether the system of internal controls provides reasonable assurance that business objectives are achieved; resources are used economically and efficiently; governing laws and regulations, as well as FINRA rules and policies are complied with; financial and operating information is reliable and timely; and corporate assets are adequately safeguarded.

Essential Job Functions:

• Conduct IT audits (Information Technology (IT) reviews and new Development Reviews (DRs)) of moderate to high complexity either working independently or as a member of an audit team.  Assist Business Area audit teams on business process (integrated) audits by evaluating the application controls of systems that support the business process under review. [55%]
• Duties include performing the planning, fieldwork, reporting, and follow-up phases of assigned audits under general supervision and in accordance with departmental (ref., Audit Manual) and professional standards (promulgated by the Information Systems Audit and Control Association and the Institute of Internal Auditors).
• Document and communicate audit results both orally and in writing in an objective, clear, concise, constructive, and timely manner.  Develop audit reports and workpapers that require a minimal to moderate amount of editing by the Director and VP (IT Audit) and the SVP of Internal Audit.
• Assist in developing data analytics techniques to facilitate the testing of controls.  [35%]
• Assist VP, IT Audit in the following areas:  (1) Offer suggestions to improve departmental processes and procedures; (2) Produce audit-related time reporting and continual updating of the FINRA Audit Management Information System (AMIS).  [5%]
• Stay abreast of new or emerging information technologies, products, and best practices.  [5%]

Other Responsibilities:

• Perform special projects as assigned

Education/Experience Requirements:

• Bachelor’s in Computer Science, Management Information Systems (MIS), Information Technology (IT), or related field; Master’s degree in above disciplines preferred.
• Minimum of 5 years' analysis and/or technical support experience related to various operating systems (e.g., Red Hat Linux, Amazon Linux, Windows 10)
• Application development, and programming experience required. Proficiency with programming languages (e.g.; Java, Python, C++, Ruby on Rails, .Net);  databases (e.g.; Oracle, Access, PostgreSQL) and SQL experience required. Proficiency with Office 365, Visio, and related Microsoft tools expected.
• Information Security coursework or work experience required.
• Proficiency with security testing, vulnerability assessments, and security architecture (e.g.; Windows security, Unix security, Infrastructure (routers, switches, firewalls) security preferred.
• Experience with a variety of data analytics tools (e.g., SAS, Access, Tableau, QlikView, and ACL) required.
• Must be comfortable working with different clients and communicating both orally and in writing.
• Professional certification (such as CISA, CISSP, CIA) and/or advanced degree desirable; ability to obtain at least one industry certification within 18 months of hire.

Working Conditions:

• Normal office conditions.
• Some travel required (less than 20% annually).

For work that is performed in CA, CO, HI, MN, VT, IL, Jersey City, NJ, NY, NY, MD, Washington DC, and WA the chart below outlines the proposed salary range for the corresponding location. In addition to location, actual compensation is based on various factors, including but not limited to, the candidate’s skill set, level of experience, education, and internal peer compensation comparisons.

CA: Minimum Salary $91,500, Maximum Salary $170,900

CO/HI/MN/VT*: Minimum Salary $79,500, Maximum Salary $142,300

IL*: Minimum Salary $87,500, Maximum Salary $156,600
Jersey City, NJ/NY, NY: Minimum Salary $95,400, Maximum Salary $170,900

MD/Washington, DC: Minimum Salary $91,500, Maximum Salary $163,700
WA: Minimum Salary $79,500, Maximum Salary $163,700

*Including positions performed outside the state but reporting to an office or manager in that state.

Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider their growth potential while at FINRA.

#LI-Hybrid

To be considered for this position, please submit an application. Applications are accepted on an ongoing basis.

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

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Employees may be eligible for a discretionary bonus in addition to base pay. FINRA provides comprehensive health, dental and vision insurance.  Additional insurance includes basic life, accidental death and dismemberment, supplemental life, spouse/domestic partner and dependent life, and spouse/domestic partner and dependent accidental death and dismemberment, short- and long-term disability, long-term care, business travel accident, disability and legal.  FINRA offers immediate participation and vesting in a 401(k) plan with company match and eligibility for participation in an additional FINRA-funded retirement contribution, tuition reimbursement and many other benefits. 

Time Off and Paid Leave*

FINRA encourages its employees to focus on their health and wellness in many ways, including through a generous time-off program of 15 days of paid time off, 5 personal days and 9 sick days (all pro-rated in the first year). Additionally, we are proud to support our communities by providing two volunteer service days (based on full-time schedule). Other paid leave includes military leave, jury duty leave, bereavement leave, voting and election official leave for federal, state or local primary and general elections, care of a family member leave (available after 90 days of employment); and childbirth and parental leave (available after 90 days of employment). Full-time employees receive nine paid holidays.

*Based on full-time schedule

Important Information

FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment.

You can read more about these restrictions here.

As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism.

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates.

FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities.

FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans.

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