The IT Auditor position is predominantly focused on the execution of audit planning, fieldwork and reporting under the guidance of a Senior Auditor or Audit Manager.
Strategic Control Impact
Identifies meaningful issues in which controls are not properly designed or are not operating effectively.
Assesses the risk and control environment for processes within coverage areas.
Validates the completion of agreed action plans under the guidance of a supervisor.
Understands the financial services industry and risk and control environment for coverage areas and identifies new risks.
Works closely with auditees to verify timely progress and completion of agreed action plans
Assists a Senior Auditor or Audit Manager with the execution of audit planning, fieldwork and reporting.
Completes risk-focused fieldwork on time and within the allocated budget, notifying the auditor in charge promptly of issues that arise or when budgets or timelines are at risk.
Understands and performs root cause analysis for issues.
Possesses and demonstrates a strong understanding of audit techniques.
Demonstrates a strong knowledge of our policies & procedures, particularly work paper documentation standards.
Independently prepares work papers that fully comply with IAD policies and procedures.
Participates in continuous improvement initiatives.
Individual and Team Development
Seeks opportunities to develop and broaden their professional skills, and knowledge of audit techniques and methodologies, of all stages of the audit lifecycle, and of the products and functions they audit.
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.
Mentors more junior team members.
Aligns risk and control processes into day to day responsibilities to monitor and mitigate risk; escalates appropriately
Leadership Competencies for this level include:
Accountability: Demonstrates reliability by taking necessary actions to continuously meet required deadlines and goals.
Global Collaboration: Applies global perspective when working within a team by being aware of own style and ensuring all relevant parties are involved in key team tasks and decisions.
Communication: Articulates information clearly and presents information effectively and confidently when working with others.
Influencing: Convinces others by making a strong case, bringing others along to their viewpoint; maintains strong, trusting relationships while at the same time is comfortable challenging ideas.
Innovation and Creativity: Thinks boldly and out of the box, generates new ideas and processes, and confidently pursues challenges as new avenues of opportunity.
Minimum 5 years of related experience minimum
Bachelor's degree preferred with Masters or equivalent experience
Previous internal or external audit experience is helpful, but not required. Previous job experience for Auditors can and should vary greatly to meet the department’s goal of having a team with diverse perspectives and work experiences.
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.
DTCC’s Competency Model sets out the core behaviors required of all employees. Additionally, each Auditor position is unique and may require the incumbent to have or build specific knowledge of the businesses, products, functions, and processes within his or her coverage responsibilities. More broadly, auditors are required to demonstrate the following skills and behaviors:
Good written, verbal and interpersonal communication skills
Strong analytical skills, with high attention to detail and accuracy
Solid problem solving skills
Demonstrates analytical and inquisitive behavior
Self-starter, with the ability to work independently and in teams
Desire to learn and receptive to feedback and mentoring
Strong knowledge of IT application risks and controls and IT general controls.
Strong knowledge in applications development (i.e., Waterfall, Agile, Iterative Development).
Knowledge of DTCC’s products and services or equivalent financial services products.
Knowledge of regulatory reporting requirements (e.g. Dodd-Frank) is strongly desired
Employer does not assist with relocation costs.
Internal Number: 172208
With over 40 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 post trade processing of financial transactions, mitigating risk, increasing transparency and driving efficiency for thousands of broker/dealers, custodian banks and asset managers worldwide. User owned and industry governed, the firm simplifies the complexities of clearing, settlement, asset servicing, data management and information services across asset classes, bringing increased security and soundness to the financial markets. In 2014, DTCC’s subsidiaries processed securities transactions valued at approximately US$1.6 quadrillion. Its depository provides custody and asset servicing for securities issues from over 130 countries and territories valued at US$64 trillion. DTCC’s global trade repository maintains approximately 40 million open OTC positions and processes roughly 280 million messages a week.
To learn more, please visit www.dtcc.com or follow us on Twitter @The_DTCC.