Internal Audit, Global Markets Technology, Vice President - Salt Lake City

Location(s) US-UT-Salt Lake City
Job ID
Schedule Type
Full Time
Vice President
Internal Audit
Business Unit
IA Engineering
Employment Type


Divisional Overview:

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’s 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:

  • Global Markets - covers the Firm’s Sales, Trading and Insurance businesses; including related supporting control functions such as Operations, Technology, Product Control and Divisional Compliance.
  • Investment Banking – covers the firm’s banking activities and Global Investment Research operations.
  • Investment Management - covers the firm’s Private Wealth Management, Asset Management and Merchant Banking businesses.
  • Corporate - covers the firm’s Risk Management, Finance, Corporate Governance, Legal, Compliance and Regulatory Reporting areas as well as Human Capital Management, Services and the Executive Office.


Job Responsibilities: 

  • Lead / Assist the risk assessment, scoping and planning of a review
  • Lead / Assist in executing the review. Specifically focusing on the following:
    • Design and execute tests to validate identified application system controls, which may require data analysis, code inspection and re-performance of system processes
    • Analyze the design of controls around the underlying system architecture in the context of information technology controls such as security, availability and performance and their impact on business-aligned technology groups
    • Analyze the business and technology processes to evaluate the effectiveness of the relevant technology controls
    • Validate that system features meet business, technology and regulatory requirements
    • Validate the quality of internal SOX assessments
  • Document the results of the test steps executed within the IA document repository
  • Lead / Assist in audit report issuance
  • Lead / Assist in presenting the scope, progress and results of the review to internal, technology stakeholders

Business knowledge / Qualifications:

  • BE/B Tech/MCA/MBA in Systems/MSc or equivalent University degrees in technology.
  • 8+ years of relevant experience in application technology audit, application development, SQA, information security, technology consulting or other relevant industry experience.
  • Technology audit skills including an understanding of:
    • System Development / Programming Languages (OO languages like Java, C#, C++)
    • System Architecture (Distributed/Messaging)
    • Databases and Operating Systems
    • Data analysis skills (Python, SQL, or similar languages or tools)
  • Judgement and problem solving - Thinks ahead, anticipates questions, plans for contingencies, finds alternative solutions and identifies clear objectives.
  • Ability to work effectively across audit teams, understanding the team’s role in the overall strategy of the firm
  • Written and verbal communication skills a must; strong interpersonal skills essential. Job requires frequent interaction with technology management
  • Must be able to multitask while managing both time and work load
  • Must be highly motivated with strong analytical skills, willing and able to learn new business and system processes quickly
  • Relevant certification or industry accreditation (CISA, CISSP, etc.) is preferred
  • Financial services knowledge and financial product knowledge is preferred
  • Creativity/Innovation - Looks for new ways to improve current processes and develop creative solutions that are grounded in reality and have practical value



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