Staff IT Auditor
About The Position
Oppenheimer & Co. Inc. is seeking a driven IT Audit professional ready to take the next step in their career. As a Staff IT Auditor, youll play a key role in evaluating and strengthening our firms IT controls, performing audits and ensuring compliance with Sarbanes-Oxley, SSAE-18 and FINRA 3130 standards. The ideal candidate will collaborate with business units to enhance IT controls, ensure adherence to regulatory requirements, and stay current with evolving audit practices. Strong analytical, communication, and problem-solving skills, along with a proactive and detail-oriented mindset, are essential.
Requirements
- Bachelors degree in either Accounting, Business, Finance, Computer Science, Business Analytics, or Information Systems
- Minimum of 2+ years of IT audit experience
- Excellent problem-solving skills
- Strong analytical ability and comfort working with data, documentation, and process flows
- A high degree of initiative, inquisitiveness, enthusiasm and attention to detail
- Excellent written and verbal communication skills
- Eager to stay ahead of industry trends and best practices
- Foundational understanding of internal control concepts, audit principles, and risk assessment methodology
- Familiarity with securities industry operations, FINRA/SEC regulatory environment, and broker-dealer supervisory processes is a plus
- Proficiency with Microsoft Office (Excel, Word, PowerPoint, Visio); experience with data analysis tools (e.g., IDEA, Tableau) is a plus
- CIA, CISA, CISSP or equivalent certifications or progress toward certification is preferred, but not required
Responsibilities
- Perform internal IT audits and Sarbanes-Oxley, SSAE-18 and FINRA 3130 testing under the general direction of the Head of Internal Audit or his designee in compliance with audit standards, schedules and regulatory expectations
- Develop an understanding of the function/department and how it relates to other areas of the firm and assist in preparing written deliverables, including a planning memo, risk and control matrix, testing procedures and a draft audit report
- Perform IT audit tests, evaluate audit test results and discuss potential issues with the Head of Internal Audit
- Present audit findings and recommendations and discuss their implications with the auditee
- Prepare and maintain audit documentation in accordance with industry highest quality standards and internal approved guidelines
- Keep current with audit best practices, industry knowledge and regulations through continuing education
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Industry
Securities, Commodity Contracts, and Other Financial Investments and Related Activities
Number of Employees
1,001-5,000 employees
