IT Audit, Risk, and Controls for Front Office Technology

VP IT Audit, Risk and Controls Front Office Technology

MUST come out of Brokerage firm to be considered for interview.

MUST be local to New York City. Hybrid Schedule, at least 4 days onsite

Salary Range: $105k to $185k

No Sponsorship

Ensure the integrity and effectiveness of IT risk management and controls within Front Office IT environment. Collaborate with various stakeholders, including IT teams, internal and external auditors, and risk management groups, to identify, assess, and mitigate IT risks. Extraordinary organizational and communication skills.

Responsibilities:

• Provide oversight and challenge of the company's Front Office Technology (FO-IT) IT risk and control environment, encompassing strategy, tools, processes, and regulatory requirements.
• Collaborate with IT teams, internal and external audit, and IT Risk groups (e.g., IT General Controls and Compliance, Identity and Access Management, and Third-Party Risk Management) to evaluate existing technologies, processes, and approaches, driving continuous improvement initiatives.
• Contribute to the development and implementation of appropriate policies and standards to guide FO-IT technology risk and control monitoring and enhancement efforts.
• Cultivate and manage relationships with key stakeholders, effectively communicating expectations regarding project timelines, deliverables, and resource allocation.
• Support audit planning and meetings with internal and external auditors, department management, and subject matter experts.
• Oversee, track, report on, and escalate (as needed) all audit activities impacting FO-IT, including audit planning, requests, findings, and remediation efforts.
• Proactively identify and assess emerging IT risks and vulnerabilities within the FO-IT landscape.
• Contribute to the development and enhancement of IT risk reporting mechanisms, providing insightful analysis and recommendations to senior management.

Qualifications:

Basic Qualifications:

• Bachelor’s degree in computer science, Information Technology, or a related field.
• Minimum of 5 years of experience in IT audit, risk management, or information security within the financial services industry, with exposure to trading applications and central IT processes (e.g., Identity and Access Management (IAM), Change Management, IT Operations).
• Proven ability to collaborate effectively with internal and external stakeholders, including auditors and regulators.
• Strong understanding of IT risk and controls.
• Excellent analytical, problem-solving, and communication skills (both written and verbal).
• CISSP, CISM, CISA, CRISC
• In-depth knowledge of specific trading products, applications, or infrastructure
• Experience with financial sector regulatory practices (e.g., FRB, OCC, SEC) and second/third line of defense effective challenge.
• Experience performing, documenting, and socializing risk assessments.
• Familiarity with ServiceNow, Archer, and SailPoint.
• Working knowledge of data analytics and reporting, including key performance indicators (KPIs) and key risk indicators (KRIs) relevant to Front Office IT.

Key Competencies:

• Communication and Collaboration: Exceptional interpersonal skills with the ability to build consensus and foster strong relationships across diverse teams.
• Analytical and Problem-Solving: Proven ability to analyze complex situations, identify root causes, and develop effective solutions.
• Risk Management: Solid understanding of IT risk management principles and practices.
• Adaptability and Flexibility: Capable of thriving in a fast-paced environment and adjusting priorities as needed.

Salary : $105,000 - $185,000