Internal Audit Specialist

Role Summary:  This role reports to the Internal Audit Senior Manager and is responsible for leading or independently performing technology, operational and/or regulatory compliance audits from start to finish, including independent preparation of audit documentation (risks, controls, test plans) by leveraging regulatory subject matter expertise and information identified from process overview discussions

Primary responsibilities/essential functions:

• Audit Execution: 

  • Leverages regulatory subject matter expertise to lead and independently perform technology, operational, and/or regulatory compliance audits from start to finish, including independent preparation of audit documentation (risks, controls, test plans) based on information identified from process overview discussions

  • Leads testing of the operating effectiveness of key controls for processes of highest specialized complexity which impacts the quality and depth of audit outcomes

  • Provides strategic and analytic guidance to identify, document and communicate control enhancement recommendations to senior stakeholders in the business

  • Leads presentations to executive management, governance committees, and other stakeholders to discuss identified risks and opportunities to strengthen the control environment

• Drives Cross-Functional Collaboration: 

  • Fosters collaboration with cross-functional teams, including business areas, ITG, Legal and Compliance, to perform audits and apply specialized knowledge.

  • Demonstrates ability to lead and manage projects across multiple teams or groups.

• Technical Expertise:

  • Leverages subject matter expertise on specialized topics (e.g., regulatory, technical information security) to influence audit plan and activities

  • Stays up-to-date on emerging regulatory impacts to ensure our organization remains in alignment with new or changing requirements

Required Skills/Abilities:

• Expert knowledge of EU technology regulations (e.g., DORA)

• Demonstrates expert knowledge of risk management and internal controls of core technology, operational and regulatory compliance processes

• Ability to identify and interpret meaningful information by interrogating large amounts of data (i.e., data analytics experience)

• Strong written and verbal communication skills, including with larger groups and senior leaders

• Collaborates with project team members regionally and globally

• Ability to prioritize assigned work and complete activities in a timely manner across multiple projects.

• Experience acting as technical expert reference for associates and leadership

• A Bachelor’s degree in Computer Science, Information Technology, Engineering, or a related technical field is highly desirable

• Relevant certifications such as CISSP, CISM, or CISA are highly desirable 

Leading Capital:

• Manages the environment

  • Models appropriate communication, decision making and interaction skills.

  • Supports a strong team.

  • Represents the company in external meetings to negotiate and/or inform.

  • Communicates with other internal managers and senior managers primarily on operational, technical and/or project related issues.

• Manages the business

  • Ensures the highest level of service efficiently delivered.

  • Ensures established guidelines are followed within team.

  • Proactively reviews team processes and work product to identify risk, assure best practices and align with current business needs.

  • Provides guidance on operational issues, technical questions, business processes and management issues.

• Manages projects

  • Plans, prioritizes, delegates and coordinates projects within area. Monitors and confirms status with senior manager, clients and staff.

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In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.

You can learn more about our compensation and benefits here.

* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.

We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.