Lead Consultant at Aurion Solutions
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IT Audit Role - Investment Bank (2-14 yrs)
Internal Audit independently assesses the firm's internal control structure. We provide assurance that financial reporting is reliable, that there is compliance with applicable laws and regulations and that the firm's operations are effectively controlled. We assist management in commercially managing risk by providing advice in developing control solutions and monitoring the implementation of management control measures. IA assists the firm's Board of Directors- Audit Committee in fulfilling its oversight responsibilities and regularly interacts with the external independent auditors.
Internal Audit is organized into global teams of business and technology auditors:
- Corporate - covers the firm's Risk Management, Corporate Governance, Finance, Legal, Compliance, Regulatory Reporting, Human Capital Management, Services, and the Executive Office.
- Securities- covers the firm's Equities, Fixed Income, Currency and Commodity trading businesses, Investment Banking and Global Investment Research businesses; and related supporting control functions such as Operations, Technology, Product Control, and Compliance.
- Investment Management - covers the firm- s, Private Wealth Management, Asset Management, and Merchant Banking businesses.
- Technology Infrastructure - covers Infrastructure, Technology Risk, Governance and Enterprise Platforms.
- Participation in planning and scoping reviews, meeting with key people within the area being reviewed to understand the underlying system architecture in the context of information technology controls and their impact on the business and identify the key risks and controls to be assessed.
- Preparation of the audit testing program and assessment of the adequacy of the design and operation of the controls associated with the key risks identified, which may require data analysis, code inspection/review and re-performance of system processes.
- Assessment of the risk and impact of the issues identified on reviews and production of the report to management.
- Follow up with stakeholders on remediation of actions coming out of issues identified during audits.
- Ad hoc work on Firmwide projects around new processes or activities and investigation of incidents.
- Ongoing liaison with colleagues globally and internal and external stakeholders including regulators and external auditors.
- Maintenance of internal stakeholder relationships and regular interaction with the business during the year to assess changes in the control environment and other matters arising in the business.
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