Senior Audit Manager II

Are you ready to make an impact at DTCC?

Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We're committed to helping our employees grow and succeed. We believe that you have the skills and drive to make a real impact. We foster a thriving internal community and are committed to creating a workplace that looks like the world that we serve.

Pay and Benefits:

• Competitive compensation, including base pay and annual incentive
• Comprehensive health and life insurance and well-being benefits, based on location
• Pension / Retirement benefits
• Paid Time Off and Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
• DTCC offers a flexible/hybrid model of 3 days onsite and 2 days remote (onsite Tuesdays, Wednesdays and a third day unique to each team or employee).

The Impact you will have in this role:

Internal Audit's mission is to provide independent, objective assurance and advisory services to assist the enterprise in maintaining effective risk management and control practices. Internal Audit will support the Board of Directors and Audit Committee in their oversight of the governance, risk and control frameworks, and will achieve and maintain the highest level of professional standards, while helping the company achieve its objectives. The Director - Senior Audit Manager II (DSAM) has direct oversight of the audit work being conducted by their audit team; they can also assume the role of Auditor In-Charge. Senior Audit Managers are responsible for one or more employees. Assists Team Lead or has greater authority than the Senior Audit Manager in select administrative, annual planning, issue management, continuous monitoring, and recruiting tasks. In the absence of the Team Lead, can fill in for certain Team Lead responsibilities (e.g., ELT meetings, QPR, approval of MSIs, approval of continuous tests, interviewing prospective candidates).

Your Primary Responsibilities:

• Identifies meaningful issues, root cause and fully assessed the impact of the issue, as well as identifies any emerging and top risks.
• Reviews and approves management self-identified issues
• Manages and reinforces strong relationships with senior management (director and above) and their business partners to become a trusted partner.
• Performs and/or reviews validation of issues and remediating actions in preparation of final validation by Team Lead. Can perform final validation of issues.
• Assists Team Leads with managing and performing ad hoc requests (i.e., from audit practices, regulatory related, GRC, etc.)
• Leads all phases of complex audits.
• Instrumental in clearing audit reports through effective communication to auditees.
• Prepare well written reports with minimal Team Lead and Senior Management edits that are cleared in accordance with report issuance guidelines.
• Manages audit lifecycle and communicates any potential exceptions in meeting timelines or budgets.
• Completes the annual plan on time and on budget
• Performs annual risk-based planning.
• Reviews auditable entity risk assessment updates prior to DGA approval.
• Execute/manage continuous monitoring test and coordinate the development of new tests.
• Approve continuous monitoring tasks, including continuous tests and KPI/KRI assessments
• Assists in preparing quarterly plan review deck
• Demonstrate strong compliance with our policies & practices, as evidenced by good QA results and strong performance within standards and related metrics.
• Emphasize and reinforces staff compliance with our policies and procedures.
• Works with IAD leadership and Audit Practices team to improve policies and procedures.
• Inspires and leads their team's performance and sets a good example of behaviors necessary for the team's success.
• Provides coaching and guidance to more junior members on their career paths.
• Responsible for training & developing their employees.
• Attracts, develops and retains high quality individuals.
• Mitigates risk by following established procedures, spotting key errors and demonstrating strong ethical behavior.

**NOTE: The Primary Responsibilities of this role are not limited to the details above. **

Qualifications:

• Bachelor's degree preferred or equivalent experience preferably with a technology-related major. Certifications related to the candidate's coverage responsibilities are beneficial, but not required, such as Certified Information Systems Auditor (CISA), Certified in Risk and Information Systems Control (CRISC), and Certified Information Systems Security Professional (CISSP).

Talents Needed for Success:

• Minimum of 10 years of related experience
• Capable of identifying, assessing, and advising on risks for large-scale technology projects, IT general controls and completing IT process audits (e.g., SDLC, Change Management, Logical Security, Business Continuity/Disaster Recovery, and Incident/Problem Monitoring).
• Proficiency in auditing infrastructure components is a plus (e.g., Mainframe, Unix/Linux, Windows).
• Deep understanding of Audit and Audit methodology
• Must possess and support awareness of regulatory and compliance environment
• Create a sense of urgency, inspire others, and set a good example of the behaviors necessary for the team's success

The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation .

About Us

With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 20 locations around the world, DTCC, through its subsidiaries, automates, centralizes, and standardizes the processing of financial transactions, mitigating risk, increasing transparency, enhancing performance and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm innovates purposefully, simplifying the complexities of clearing, settlement, asset servicing, transaction processing, trade reporting and data services across asset classes, bringing enhanced resilience and soundness to existing financial markets while advancing the digital asset ecosystem. In 2024, DTCC's subsidiaries processed securities transactions valued at U.S. $3.7 quadrillion and its depository subsidiary provided custody and asset servicing for securities issues from over 150 countries and territories valued at U.S. $99 trillion. DTCC's Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes more than 25 billion messages annually. To learn more, please visit us at or connect with us on LinkedIn , X , YouTube , Facebook and Instagram .

DTCC proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you'll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A DTCC career is more than a good way to earn a living. It's the chance to make a difference at a company that's truly one of a kind.

Learn more about Clearance and Settlement by clicking here .

About the Team

The Internal Audit Department's (IAD) mission is to deliver independent assessments of the organization's overall control environment and to promote proactive risk identification and mitigation.