Position: Assistant Vice President / Vice President,, Technology Internal Audit

Role & Responsibilities:

- The Vice President will support the Technology Portfolio Director in the definition, execution, and management of Internal Audit efforts related to Compliance, Financial Crimes, Conduct and Culture, and Legal The candidate will be responsible for auditing the technology components within these LCC areas.

- The portfolio oversees key control frameworks related to Market Abuse Surveillance, Conflicts Management, Compliance Advisory, AML/KYC, Sanctions, Anti-Bribery and Corruption (ABC), Conduct & Culture, and Legal functions, including the use of Master Agreements.

Key responsibilities include:

- Leading and executing IT audit reviews (Application controls & IT General Controls) independently for global and regional LCC audits, including scoping, execution, and reporting.

- Working closely with business auditors on integrated audit reviews.

- Taking primary responsibility for audit planning, fieldwork, finalizing report findings, and agreeing on action plans with auditees.

- Performing Data Analytics within audits using tools like Excel and Python.

- Supporting and contributing to the Internal Audit department's strategic Data Analytics initiative, advocating for and developing colleagues in its use.

- Maintaining strong, independent working relationships with LCC technology teams, identifying emerging risks, and recommending value-added control improvements to senior management.

- Following up on and validating audit findings tracked by Internal Audit.

- Performing risk assessments using the departmental methodology.

- Carrying out special projects, ad-hoc investigations, and advisory work as required.

Qualifications & Experience:

Solid experience executing IT application audits within an investment bank or major financial institution, including:

- Integrated audits and auditing application controls.

- Auditing data integrity to provide an opinion on the completeness, accuracy, and timeliness of system-based processing.

- IT General Controls (ITGC).

- Solid experience in designing and executing sophisticated Data Analytics tests.

- Background in auditing technology components related to Compliance (e.g., Market Abuse Surveillance, Conflicts Management), Financial Crimes, and Conduct and Culture.

- Experience successfully managing complex regional and global audit projects and managing multiple concurrent audits.

- Strong analytical skills with the ability to identify key risks and formulate audit plans, exercising sound judgment on issue criticality.

- Excellent communication skills (oral and written) and a confident manner.

- Strong time and project management skills, with a consistent record of delivering to deadlines.

- Minimum 8-10 years of professional audit experience, with at least 3 years in internal audit within the financial sector.

- Engineering degree or equivalent IT-related degree.

- Professional certifications such as CISA / CISSP are a plus.

- Knowledge of coding (e.g., Python) for Data Analytics is highly desirable.

- Compliance certifications (e.g., CISI or regional equivalent) are advantageous.

Leadership Behaviors:

We seek leaders who demonstrate the following behaviors:

Exploring Insights & Vision: Analyze problems comprehensively and focus on future vision.

Making Strategic Decisions: Analyze options and feasibility to make sound judgments and recommendations.

Inspiring Entrepreneurship in People: Promote vision and goals to inspire commitment and independent contributions.

Elevating Organizational Capacity: Maximize productivity through leadership development and engagement.

Inclusion: Respect diverse perspectives, promote psychological safety, and foster a healthy risk culture.