Our Client is looking for an IT Audit / Electronic Trading Controls Consultant (Onsite) in New York.
Role: IT Audit / Electronic Trading Controls Consultant (Day 1 Onsite)
(Direct Client)
Location: New York
Duration: 3-6+ Months
JOB DESCRIPTION:
Seeking an IT Audit / Electronic Trading Controls Consultant with our financial services client in New York, NY. This position requires 5 days per week onsite.
Summary:
Our client is seeking an experienced consultant to support its Internal Audit organization with a specific focus on Electronic Trading (e-Trading) technology, controls, and risk within the Global Markets environment.
The ideal candidate will bring 4 5+ years of relevant experience spanning electronic trading, technology audit, engineering/technology controls, second-line risk, or a related control function. Candidates should have direct exposure to the systems, processes, business requirements, or controls supporting electronic trading.
Equities experience is strongly preferred, particularly exposure to equity options and derivatives; however, candidates with relevant electronic trading experience in FX or Credit will also be considered.
This individual will serve as an e-Trading subject matter expert, supporting a combination of BAU and regulatory-driven audit work. The consultant must be able to understand how electronic trading controls are implemented within technology environments and clearly document those controls and associated testing for review by senior stakeholders.
Responsibilities:
- Perform technology and controls reviews of electronic trading platforms and processes, with a focus on Equities, equity options, and derivatives.
- Evaluate the design and effectiveness of controls supporting electronic trading systems, including controls related to order handling, execution, market conduct, execution quality, client protection, security, availability, performance, and data integrity.
- Understand business requirements and their technical implementation to identify key risks and determine where relevant controls reside within electronic trading applications and workflows.
- Review system architecture, application logic, technical documentation, and, where appropriate, source code to understand how trading controls have been implemented.
- Design and execute audit test procedures to validate electronic trading controls, including control walkthroughs, code review, system-process re-performance, and supporting data analysis.
- Partner with technology, engineering, trading/business stakeholders, risk, compliance, and other control functions to understand processes and assess control effectiveness.
- Support BAU and regulatory-driven audit work related to electronic trading and associated technology environments.
- Analyze business and technology processes to determine whether system features and controls meet applicable business, technology, risk, and regulatory requirements.
- Leverage AI-enabled development and code-review tools, where appropriate, to assist with the review of application code and control implementation.
- Independently validate AI-generated code analysis by identifying where controls reside within the application and confirming that AI-generated conclusions accurately reflect the underlying implementation.
- Analyze data using appropriate tools to identify control exceptions, trends, and potential areas of risk.
- Assist with risk assessments, audit scoping, planning, testing, and reporting.
- Produce clear, detailed, and easy-to-follow audit work papers and technical documentation that can withstand review by Internal Audit leadership and other stakeholders.
- Document testing performed, evidence reviewed, conclusions reached, and identified control gaps within the Internal Audit documentation repository.
- Assist with presenting audit scope, progress, findings, and conclusions to technology and business stakeholders.
- Support preparation of audit reports and communication of conclusions to senior management.Follow up on identified audit issues and validate remediation activities.
Requirements:
- 4 5+ years of relevant professional experience in electronic trading technology, technology audit, technology risk/controls, engineering controls, second-line risk, or a related function.
- Demonstrated electronic trading experience and a strong understanding of the technology and controls supporting automated/electronic trading environments.
- Experience with at least one of the following:
- Defining or analyzing business requirements for electronic trading systems.
- Engineering or developing electronic trading technology.
- Direct supervision, testing, or assessment of electronic trading technology controls.
- Second-line technology/risk oversight of electronic trading.
- Internal audit of electronic trading platforms and controls.
- Experience within Equities electronic trading is strongly preferred; relevant FX or Credit electronic trading experience will also be considered.
- Ability to understand technical implementations and identify where key business and regulatory controls are implemented within trading applications.
- Sufficient programming/code literacy to read and understand application code and control logic. Direct software development experience is beneficial but not required.
- Exposure to languages commonly used within trading environments, such as Java and Python, or the ability to quickly understand comparable programming languages.
- Ability to use AI-assisted tools, such as Copilot, to support code review while independently validating the tool's conclusions and determining whether controls have been implemented appropriately.
- Strong understanding of technology controls, including system architecture, application security, data integrity, change management, availability, performance, and technology risk management.
- Excellent written communication and technical documentation skills, including experience preparing audit work papers, control documentation, technical assessments, or similarly detailed materials subject to formal review.
- Strong collaboration skills with the ability to work effectively across Technology, Engineering, Trading/Business, Risk, Compliance, and Internal Audit stakeholders.
- Ability to communicate complex technical and control concepts clearly and concisely.
Preferred Qualifications
- Electronic trading experience within a major global bank, investment bank, hedge fund, asset manager, or other large institutional trading organization.
- Experience with Equities, equity options, and/or derivatives trading technology and controls.
- Experience performing both BAU and regulatory-focused audits or control reviews.
- Experience in technology audit, second-line technology risk, compliance, engineering controls, or similar risk/control functions.
- Experience reviewing code or technical implementations as part of control testing or audit procedures.
- Data analysis experience using tools such as SQL, Python, or similar technologies.
- Knowledge of capital markets, electronic market structure, trading workflows, order lifecycle, and applicable regulatory requirements.
- Certifications or industry accreditations such as CISA, CISSP, CISM, CFA, or Series 7 are a plus.
Best Regards
Kyle,
Sr. US IT Recruiter
Infinity Tech Group Inc,
12 N Route 17 Suite # 201 Paramus NJ 07652
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