Internal Audit Manager, Is
hace 3 semanas
**#WeAreTradeStation**
**Who We Are**:
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge. At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.
**What We Are Looking For**:
The Internal Audit Manager - Information Systems (“IS”) and Information Technology (“IT”) Audits will be an individual contributor responsible for providing strong management, planning, and execution of all IS and IT audit activities for TradeStation and in maintaining a leading practice audit function. This will include the timely execution of controls testing for Japanese Sarbanes Oxley (JSOX) or U.S. SOX compliance, risk based IS and IT, and integrated IS and IT audits in accordance with the annual audit plan as approved by the Board of Directors (“the Board”), determining effectiveness of prudent business practices and compliance with applicable policies, procedures, laws, and regulations.
The responsibilities will include end-to-end execution of IS and IT audits as well as supporting the Audit Directors for Finance, Operations and Regulatory audits in the integrated design of testing procedures, executing testing steps to evaluate the adequacy and effectiveness of the Information Systems and Information Technology and work with management to identify remediation plans for any internal control deficiencies or weaknesses identified. The Manager will also assist with other audit matters and perform initiatives at the direction of the Chief Audit Executive.
**What You'll Be Doing**:
- Planning and execution of the multi-location Audit Plan for IS and IT based on an assessment of company goals and objectives and the significant risks that could compromise the achievement of those objectives
- Plan and execute the annual IS and IT audit plan based on business objectives and significant risks for areas under review and test key internal controls for design and operating effectiveness
- Maintain alignment between the Company's goals and strategies and the IS and IT audit activities of the Internal Audit Department
- Conduct the annual testing and internal control assessments of IT General Controls and IT Application Controls as required for JSOX compliance
- Manage the completion of all phases of the audit process for IS and IT audits and special projects
- Conduct interviews, gather information, document or update system matrixes and process and data flows highlighting significant risks and key internal controls
- Work on multiple projects simultaneously and take initiative to manage priorities and meet deadlines
- Use technical, business, and problem-solving skills to provide in-depth audit, advisory, and consulting services for IS and IT projects, focusing on business process risks and internal controls
- Perform research and attend virtual and live training to maintain and enhance knowledge necessary to effectively support IS and IT areas of the Internal Audit Department and the business
- Promptly inform the Directors and the Chief Audit Executives of internal control concerns, audit progress, significant and material findings, and problems encountered
- Build strong relationships with key stakeholders, Senior Management, and other key leaders. Support the Chief Audit Executive in managing relationships with the Board. Serve as a trusted advisor to management
- Regularly meet with key business leaders in assigned IS and IT units to stay informed of organizational, processes and technology changes, new revenue lines, and resultant emerging risks
- Engage in management requested and/or consulting projects and provide advisory services to management on process redesign, major system initiatives, internal control frameworks, and best practices
- Partner effectively with the second lines of defense in the enterprise risk management processes and provide practical approaches to evaluating and improving organizational governance processes and internal controls
- Perform research and conduct training to reinforce internal controls awareness necessary to assist management in their efforts for preventing internal control breakdowns
- Clearly articulate the role and value of the Internal Audit function, underscoring independence, and objectivity
- Participate in special projects, investigations, due diligence activities, and assess post implementations internal controls of new products and systems
- Provide fair, factual, and balanced insights into current, emerging, and potential issues, trends, and opportunities that will enhance the efficiency and effectiveness of internal controls
- Consult constantly with the Company's external auditors and provide assistance as needed
**The Soft Skills You Bring**:
- Ability to naturally influence IT executives and to function as a business partner
- Ability to manage m
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