Associate Principal, Internal Audit, Information Technology & Security

OCC • Dallas, TX

5d • $104,800 - $170,600 • Hybrid

About The Position

The Associate Principal, Internal Audit, Information Technology & Security supports and leads independent assessments of OCC’s Information Technology and Security environment, risk management, and other objectives as needed. The role evaluates whether management’s controls and activities are sufficient to address regulatory, operational, and strategic risks, and presents recommendations for improvement to engagement management and auditees.

The position contributes to delivery of audits in the annual audit plan, maintains audit quality and accuracy, and helps ensure timely completion and a professional auditee experience. It identifies risks, examines root causes of exceptions or inefficient practices, and recommends achievable solutions. The role also leads audits involving organizational change, including business requirements, technology implementations, change management, security, and alignment of initiatives with business objectives.

The position applies relevant professional principles and standards, including AICPA, IIA IPPF, COBIT, and NIST CSF, to evaluate risk management processes and controls. It keeps current with financial services industry practices and emerging risks, supports effective relationships with business groups and leadership, and partners with management. The position has no supervisory responsibilities.

Requirements

• Bachelor’s degree or equivalent in Information Technology, Computer Science, Computer Engineering, Accounting, Finance, Business Administration, or a related field.
• At least 5 years of audit-related experience conducting risk-based Information Technology and Security audits and projects, cybersecurity reviews, and internal audits.
• Experience using principles, practices, and techniques for conducting audits in accordance with the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors.
• Experience working in a complex, fast-paced environment.
• Ability to communicate clearly and effectively orally and in writing, including handling potentially sensitive situations and discussions.
• Strong problem-solving and analytical capabilities.
• Ability to gather, analyze, and evaluate facts and prepare and present concise oral and written reports.
• Ability to work independently or as part of a team and prioritize multiple audit assignments to complete them on time.
• Microsoft Office applications.

Nice To Haves

• Consulting and/or accounting firm experience.
• Experience in the financial services or securities industry and working with regulations such as Regulation Systems Compliance and Integrity (Reg SCI).
• Familiarity with security tools such as CyberArk, Splunk, and SailPoint.
• Familiarity with change management tools such as ServiceNow, Jira, Confluence, and GitHub.
• Familiarity with databases such as Oracle, DB2, and SQL.
• Familiarity with cloud-based solutions such as AWS and Workday.
• Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software.
• CISA, CISSP, CRMA, CIA, CPA, or an equivalent certification.

Responsibilities

• Support the team in delivering assigned audits within the annual audit plan.
• Help ensure a professional auditee experience.
• Own audit quality, accuracy of results, and timely delivery.
• Proactively identify regulatory, operational, and strategic risks and bring them to the engagement team.
• Evaluate exceptions and inefficient practices to identify root causes and recommend achievable solutions.
• Lead audits related to organizational changes, including business requirements definitions, technology implementations, change management, security, and alignment of initiatives with business objectives.
• Maintain understanding of policies, procedures, standards, and supporting technologies, and educate staff to identify risks and alternatives for mitigating risk exposure.
• Apply relevant professional principles and standards to test and evaluate corporate risk management processes and controls.
• Keep current on financial services industry best practices and emerging risks and recommend improvements as necessary.
• Support effective relationships with business groups and leadership and partner with management.

Benefits

• Hybrid work environment with up to 2 days per week of remote work.
• Tuition reimbursement.
• Student loan repayment assistance.
• Technology stipend for using a device of the employee’s choice to connect to the network while working remotely.
• Generous PTO and parental leave.
• 401(k) employer match.
• Medical, dental, and vision benefits.
• Potential eligibility for a discretionary annual incentive compensation award, with a target range of 8% to 15%.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior