Broadridge is growing! We are currently hiring a Director of Operational Audit to join our prestigious Internal Audit group. In this role, you will ensure that controls and processes that support the business are recognized, reported and managed before they can adversely impact the company. You will be an integral part of the global Audit team, as you partner closely with business areas across the organization.
As the Director, you will perform the following:
Map risks and controls that could adversely impact business results or weaken control levels;
Review processes and practices enterprise-wide to ensure the use of compliant practices, procedural efficiency, and accuracy;
Interact with senior and middle management, as well as internal and external peers;
Successfully complete audit assignments in an appropriate and efficient manner;
Conduct preliminary surveys to assess risk and define scope;
Prepare planning memos and engagement letters;
Develop risk control matrixes and audit programs ensuring complete coverage and analysis of audit areas;
Prepare and assemble work papers for assigned audits;
Ensure that issues or problems are addressed and communicated appropriately and in a timely manner;
Prepare audit observations for review by the designated audit project managers;
Prepare draft and final audit reports;
Prepare Audit Engagement Kick-Off, Scope, and Exit Meeting presentations;
Perform all work according to IIA Standards;
Provide status reports to the Corporate Audit management team and audit clients regarding progress of activities and observations; and
Follow up and report on the status of out standing audit recommendations from prior audits.
Qualifications
Bachelor's degree required, advanced degree preferred.
Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) preferred -- in the absence of a relevant qualification, you should be willing and able to gain such a qualification;
7+ years of relevant audit, broker-dealer, compliance, AML, or related business experience.
Goals/competencies
Adjust quickly and effectively to work with new processes, people, and cultures;
Use analytical skills and intuition to identify and understand issues, problems, and opportunities;
Ability to prioritize and complete multiple tasks and audits with tight deadlines;
Write reports, memos, and other business correspondence in a logical, clear, and grammatically correct manner;
Use effective and efficient approaches for choosing a course of action and take action that is consistent with available facts;
Remove obstacles and support the team to achieve success;
Continuously obtain and assess any information that may affect a project and adjust the tasks and/or objectives as needed;
Identify situations where additional, specialized, or external audit expertise is needed and raise to the Corporate Audit management team;
Undertake professional development opportunities by completing 40 hours of applicable training courses per year;
Build solid relationships with clients, including approaching clients in an organized and knowledgeable manner and to deliver clear results of audit issues identified and negotiate agreeable remediation plans.
High level of integrity;
Knowledge of PC and standard office software (Word, Excel, Power Point, Outlook)
Strong verbal and written communications skills; presenting, listening, and interviewing skills; and
Strong project management skills, including leading the whole audit lifecycle, participating in multiple audits or projects at the same time, and handling time effectively.
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