Career Opportunities

FINRA is seeking well qualified individuals for our Senior IT Auditor opening in Rockville, MD.  To be considered for this position, please submit your resume through our careers site at   https://finra.recruitmax.com/MAIN/careerportal/Job_List.cfm?szSearchType=Advanced
(Job ID #2027).  No phone calls please.

Job Summary:

Conduct IS audits to provide technology and senior management with an independent assessment of whether the system of internal controls provides reasonable assurance that business objectives are achieved; resources are used economically and efficiently; governing laws and regulations, as well as NASD rules and policies are complied with; financial and operating information is reliable and timely; and corporate assets are adequately safeguarded.

Essential Job Functions:

• Conduct IS audits (Information Technology (IT) reviews and new System Development Reviews (SDRs)) of moderate to high complexity either working independently or as a member of an audit team.  Duties include performing the planning, fieldwork, reporting, and follow-up phases of assigned audits with limited supervision and in accordance with departmental (ref., Audit Manual) and professional standards (promulgated by the Information Systems Audit and Control Association and the Institute of Internal Auditors).  [50%]
  
• Assist Business Area audit teams on business process (integrated) audits by evaluating the application controls of systems that support the business process under review, and developing computer assisted audit techniques (CAATs) to facilitate the testing of controls.  Support Business Area audit teams in performing Program Development Reviews (PDRs) as assigned.  [20%]
  
• Document and communicate audit results both orally and in writing in an objective, clear, concise, constructive, and timely manner.  A minimal amount of editing of audit reports by the Director (IS Audit) and the SVP of Internal Review and workpaper review comments are expected at this level.   [10%]
  
• Stay abreast of new or emerging information technologies, products, and best practices.  [5%]
  
• Provide on-the-job training for assigned staff with respect to audit techniques and administration, and offer input into their performance evaluations.  [5%]
  
• Assist Director (IS Audit) in the following areas:  [5%]
  
  • develop annual Audit Plan by providing input to a risk assessment of market, regulatory, and corporate systems and related infrastructure operated by or on behalf of FINRA and its subsidiaries;
  • offer suggestions to improve departmental processes and procedures; and
  • perform administrative tasks such as audit-related time reporting and continual updating of the FINRA Audit Management Information System (NAMIS).

Other Responsibilities: 

• Perform special projects as assigned.  [5%]

Education/Experience Requirements:

• Bachelor’s degree in MIS, Business, or related field (or equivalent work experience).
• Minimum of 7 years IS auditing experience and/or application development or technical support experience related to Tandem, Unisys, Sun, Sequent, or Windows NT platforms.
• Excellent teamwork and communication skills.
• Professional certification (such as CISA, CPA, CIA, or CISSP) and/or advanced degree is highly desirable.

Working Conditions:

• Some travel required; less than 20% annually.
• Work is performed in an office environment.

In addition to a competitive salary, comprehensive health & welfare benefits, and an incentive bonus, FINRA offers immediate participation and vesting in a 401(k) with company match; a company funded pension plan; tuition reimbursement and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA.

About FINRA:

The Financial Industry Regulatory Authority (FINRA) is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,000 brokerage firms, about 174,000 branch offices and approximately 677,500 registered securities representatives.  FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 15 District Offices around the country.

Created through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.

In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair, ensuring investor choice and proactively addressing emerging regulatory issues before they harm investors or the markets.

EOE/AA. M/F/D/V For consideration, please go to www.finra.org and click on the “Careers at FINRA” link.

(Posted on 03/28/09 - Last day of posting 05/28/09)