Job DescriptionThe Impact you will have in this role:
This role is responsible for executing risk-based audits from planning through reporting, delivering high-quality work within established timelines and budgets. The individual partners with stakeholders to assess control effectiveness, identify gaps, and provide clear, actionable insights that strengthen the control environment.
The role also focuses on collaboration and continuous improvements - supporting team development, enhancing audit and data analytics capabilities, and contributing to initiatives that modernize audit practices and elevate the overall impact of Internal Audit.
Your Primary Responsibilities:
Proactively Influence the Control Environment - Completes risk-focused planning, fieldwork and reporting that is on time and within the allocated budget, notifying the lead auditor promptly of any issues that arise or when budgets or timelines are at risk.
- Understands PRC/RCM and can create test steps/identify when testing strategy needs to be modified.
- Speaks clearly and concisely and is able to lead meetings with the auditee throughout the audit.
- Lead the completion of audit plan and team status meetings.
- Prepares issue matrix to be reviewed by Managers or Team Leaders.
- Execute all sections of the Planning Memo as assigned.
- Writes clearly to demonstrate detailed knowledge of the area being audited for a reader to understand their testing and conclusion.
- Possesses and demonstrates a strong understanding of audit techniques, including data analytics.
- Understands and performs root cause analysis for issues.
- Participates in building and executing continuous monitoring tests.
- Plan testing strategies and execute issue validation fieldwork without assistance.
- Validates the completion of issues under the guidance of a supervisor.
Strengthen IAD Talent and Engagement - Continually broadens their skills, talents and knowledge of audit processes and products/functions they audit.
- Strong commitment to teamwork and collaboration demonstrating a willingness to assist peers and
- supervisors however possible.
- Takes initiative to act as buddy to new team members and interns.
- Mentors more junior team members.
- Seeks feedback for improvement and effectively applies that feedback to continuously improve.
- Looks for training courses on ProEdge or other training systems to help meet goals.
- Sets goals and adjusts throughout the year while having regular catch-ups with manager. Helps junior members of the teams in setting appropriate goals
- Looks to increase knowledge of data analytics and how they can be applied. Actively looks for opportunities to use data analytics in audits and/or has created data analytics included in the DA library.
- Speaks with manager periodically about different licenses and certifications that they could look to achieve now or in the future.
Maximize DTCC IAD Brand Image - Develop professional and productive relationships with auditees in order to meet audit objectives.
- Participate in industry groups that align with career aspirations and goals.
- Participates in internal and external recruiting efforts.
Elevate IAD Role & Value - Basic understanding of organization, structure, entities, and interconnectedness of functional processes (e.g. HR, Treasury, Legal).
- Formulates control issues that are not properly designed or are not operating effectively elevating IAD's value to the organization.
- Works closely with auditees to verify timely progress and closure of issues and underlying remediating actions.
Modernize Audit Tools, Practices, and Approach - Demonstrates a strong knowledge of our policies & procedures, particularly work paper documentation standards and issue management.
- Supports digital strategy roadmap and participates in select continuous improvement initiatives.
**NOTE: The Primary Responsibilities of this role are not limited to the details above. **
Qualifications: - Minimum of 5 years of related experience
- Bachelor's degree preferred or equivalent experience
- Certifications related to the candidate's coverage responsibilities are beneficial, but not required, such as Certified Internal Auditor (CIA), CPA, CFA, Financial Risk Manager (FRM), and Certified Information Systems Auditor (CISA)
Talents Needed for Success: - Previous internal or external audit experience is helpful, but not required.
- Strong analytical and problem-solving skills
- Strong commitment to teamwork and collaboration
- Strong written and oral communication skills
The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations.
