Associate Principal, Internal Audit, Information Technology & Security

The OCC • Dallas, TX

3d • Hybrid

About The Position

This role supports and leads independent assessments of OCC’s Information Technology and Security environment, risk management, and other objectives as needed. The position determines whether management’s controls and activities adequately address regulatory, operational, and strategic risks, and presents recommendations for improvement to engagement management and auditees.

The role contributes across three pillars: delivery, quality, and leadership. It supports audits in the annual audit plan, helps ensure a professional auditee experience, and owns audit quality, accuracy, and timely delivery. It identifies organizational risks, investigates root causes of exceptions and inefficient practices, and recommends achievable solutions. It also leads audits of organizational change, including business requirements, technology implementations, change management, security, and alignment of initiatives with business objectives.

The position maintains knowledge of relevant policies, procedures, standards, technologies, and professional frameworks; applies those frameworks to evaluate risk management processes and controls; and keeps current on financial-services best practices and emerging risks. It supports effective relationships with business groups and leadership and partners with management. The position has no supervisory responsibilities.

OCC is the world’s largest equity derivatives clearing organization. It provides clearing and settlement services for options, futures, and securities-lending transactions and operates under the jurisdiction of the SEC, CFTC, and Federal Reserve Board. The role has a hybrid work environment, with up to two remote-work days per week.

Requirements

• Clear and effective oral and written communication, including the ability to handle 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 in a timely manner.
• Experience working in a complex, fast-paced environment.
• Experience applying the principles, practices, and techniques involved in conducting audits under the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors.
• Proficiency with Microsoft Office applications.
• 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.

Nice To Haves

• Consulting and/or accounting firm experience.
• Experience in the financial services or security 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 equivalent certification.

Responsibilities

• Support the team in delivering assigned audits within the annual audit plan.
• Help ensure a professional experience for auditees.
• Own audit quality, accuracy of results, and timely delivery.
• Proactively identify regulatory, operational, and strategic risks and raise them with 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 an understanding of relevant policies, procedures, standards, and supporting technologies, and educate staff to help identify risks and mitigation alternatives.
• Apply professional principles and standards, including AICPA, IIA IPPF, COBIT, and NIST CSF, to test and evaluate corporate risk management processes and controls.
• Keep current on financial-services best practices and emerging risks and recommend improvements as appropriate.
• 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 connecting to the network while working remotely.
• Generous paid time off and parental leave.
• 401(k) employer match.
• Competitive medical, dental, and vision benefits.
• Potential eligibility for a discretionary annual incentive compensation award, with a target range of 8% to 15%; awards are not guaranteed.
• Employee wellness and work-life-balance support.

What This Job Offers

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