IT Senior Internal Auditor

Job Summary

Under immediate supervision, the Senior IT Auditor ensures an effective control environment through professional IT audits, awareness and education and consultation services. The Senior IT Auditor will lead and participate in audits for Stifel locations and auditable entities (domestic and international) to ensure the adequacy of IT Controls, information security, integrity of IT assets, and compliance with corporate and legal requirements. This position is responsible for verifying compliance with IT policies, standards, systems development methodology and other applicable industry accepted computing practices; performing risk assessments and pre-implementation reviews to determine security, operational, and compliance risks and opportunities; documenting audit findings and work performed; following up on past findings for timely and adequate remediation; and partnering with the Business Auditors to assist with the approach of testing other IT dependent controls.

Essential Duties and Responsibilities

• Lead team efforts and responsible for the logistics, planning and scoping of scheduled audits.
• Develop risk-based audit programs for projects to include risk assessment, scope of work to be performed, staffing and time requirements
• Provide quality review of staff work papers and performance, communications with IT management.
• Responsible for technology and business process assessments, risk identification, use of technology solutions to facilitate the review of controls and formulation of clear recommendations for management's consideration.
• Assess the reliability and integrity of IT and operating information and the means used to identify, measure, classify, and report such information.
• Manage the budget and deadlines for timely completion of audits.
• Ensure audit work papers are prepared according to established department guidelines and professional standards.
• Provide routine updates to the Audit Manager / Director regarding the progress of assigned audit tasks, significant issues identified, suggested practical business solutions and completion status.
• Provide guidance to outsourced resources to ensure a timely and efficient completion of audits.
• Present audit findings or other relevant information to key stakeholders with respect to the effectiveness and adequacy of risk management, governance, and internal control procedures.
• Develop, mentor, train, and supervise internal talent.
• Some travel by car and/or air in conjunction with local, regional and/or national travel, may be required.

Qualifications

• Programs and System Knowledge - Experience in auditing applications, interfaces, system infrastructure, information processing and general IT controls; including such areas as:
• Strong working knowledge of standard concepts and practices of internal auditing, particularly the Institute of Internal Auditor (IIA)'s Standards for the Professional Practice of Internal Auditing and the Information Systems Audit and Control Association's Standards for Information Systems Auditing (ISACA)
• Understanding of leading risk and controls frameworks and standards such as COSO, COBIT, ITIL, NIST, etc. Experience in evaluating the design and operating effectiveness of internal controls.
• Experience with data analytics and data mining tools, reviewing audit work papers and using an automated work paper solution a plus.
• Past supervisory experience in engagement planning and leading.
• General understanding of banking and financial services industry practices and related rules and regulations preferred.

Education and Experience

• Minimum Required: Bachelor's degree in Management Information Systems/Information Technology, Computer Science, or Business (Accounting, Finance, or related)
• 3+years' experience in IT Audit or IT Compliance
• CISA/CRISC, CITP designation or equivalent
• Proficiency using software applications including query tools, databases, spreadsheets, word processing and presentation software (Microsoft Office, Visio, etc.).

About Stifel

Established in 1890, Stifel is one of the nation's leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation's seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry's largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer