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FINRA is seeking a well-qualified individual for our IS Auditor III/ IS Audit Project Leader opening in Rockville, MD To be considered for this position, please submit your resume through our career site at - no phone calls, please.

Major Purpose of This Job:

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 FINRA 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 Development Reviews (DRs)) 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).
• 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 Development Reviews (DRs) as assigned.
• Document and communicate audit results both orally and in writing in an objective, clear, concise, constructive, and timely manner. Depending on level, a minimal to moderate amount of editing of audit reports by the Director (IS Audit) and the SVP of Internal Audit and work paper review comments are expected.
• Stay abreast of new or emerging information technologies, products, and best practices.
• Assist Director (IS Audit) in the following areas: (1) Offer suggestions to improve departmental processes and procedures; (2) Perform administrative tasks such as audit-related time reporting and continual updating of the FINRA Audit Management Information System (NAMIS).
• Perform special projects as assigned.

IS Audit Project Leader only:

• Conduct IS audits (Information Technology (IT) reviews and new Development Reviews (DRs)) of moderate to high complexity either working independently or as a member of an audit team, but may also be the auditor-in-charge.
• 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.
• Provide on-the-job training for assigned staff with respect to audit techniques and administration, and offer input into their performance evaluations.

IS Auditor III

• Bachelor's degree in Computer Science, MIS, or related field
• Minimum of 5 years IS auditing experience and/or application development or technical experience related to
• Unix, Linux, Windows platforms, or Oracle.
• Experience with SAS, ACL (Data Analytics) highly preferred.
• Excellent teamwork and verbal and written communication skills
• Professional certification (such as CISA, CPA, CIA, or CISSP) and/or advanced degree desirable.

IS Audit Project Leader

• Bachelor's degree in Computer Science, MIS, or related field
• Minimum of 7 years IS auditing experience and/or application development or technical experience related to Unix, Linux, Windows platforms, or Oracle.
• Experience with SAS, ACL (Data Analytics) highly preferred.
• Excellent teamwork and verbal and written communication skills
• Professional certification (such as CISA, CPA, CIA, or CISSP) and/or advanced degree highly desirable

Working Conditions:

• Normal office conditions.
• Some travel required (less than 20% annually).

The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required.

To be considered for this position, please submit a cover letter and resume. A writing sample may be required as part of the submission.

FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA's accommodation help line at (240) 386-4865. Please note that this number is exclusively for inquiries regarding application accommodations.

In addition to a competitive salary, comprehensive health and welfare benefits, and incentive compensation, FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program 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.

Please note: FINRA's Code of Conduct imposes restrictions on employees' investments and requires financial disclosures that are uniquely related to our role as a securities regulator. As standard practice, employees must also complete FINRA's Employee Confidentiality and Invention Assignment Agreement and comply with the company's policy on nepotism.

About FINRA

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA's mission is to protect America's investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,600 brokerage firms, about 164,000 branch offices and approximately 632,000 registered securities representatives.

FINRA's independent regulation plays a critical role in America's financial system and touches virtually every aspect of the securities business-from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. We also perform market regulation under contract for the major U.S. stock markets, including the New York Stock Exchange, NYSE Arca, NYSE Amex, The NASDAQ Stock Market and the International Securities Exchange.

FINRA has approximately 3,000 employees and operates from Washington, DC, and New York, NY, with 20 regional offices around the country.

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

Find out more about us and how we work-and view our current openings-at .

Search Firm Representatives

Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA.

FINRA is an Equal Opportunity and Affirmative Action Employer

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