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| Senior Technical Auditor (Ref: 00812) | |
| Sector, Sub Sector: | Other |
| Compliance Type: | Regulatory/Compliance |
| Expertise: | - |
| Company: | T. Rowe Price |
| Location: | Owings Mills , Maryland Americas, United States |
| Employment Type: | Permanent |
| Job Description: |
PRIMARY PURPOSE OF THE POSITION The Sr. Technical Auditor develops and implements audit plans of internal business processes, application systems, general controls, and technical infrastructure; develops recommendations to Business Unit and IT management based on audit findings to enhance and improve operations; reports on audit findings and resolution to company senior management and monitors the status of Corrective Action Plans to ensure they are being implemented to remediate control weaknesses and mitigate risk. This role is similar to that of a Sr. Auditor, but requires a technical systems background. PRINCIPAL RESPONSIBILITIES Audit Planning For assigned audits, research current regulatory and technical issues affecting the audit area. Conduct interviews with BU Department Managers to gain a thorough understanding of the business process. Review prior workpapers, where applicable, for identified issues and determine whether resolutions were properly implemented. Define the scope of the audit, focusing on key risks and controls, and prepare an engagement memo, which is reviewed by the Audit Manager and then sent to business unit management. The incumbent may lead the overall audit effort for large-scale audits that combine both business process (operational) and system (technical) audits to ensure that key controls are identified and tested. Audit Execution Document current processes and identify key controls. Evaluate business processes for gaps in controls and to align the process with internal control best practices. Identify opportunities to streamline the process and create operational efficiencies. Create an audit plan to test key controls to verify compliance. Utilize automated software tools to select representative audit samples and analyze system data for evidence of exception situations requiring audit follow-up. Perform testwork, summarize results, and give an opinion on the operating effectiveness of the control structure. Assess the severity of identified weakness and the impact of the risk involved. Document audit findings, observations and conclusions and review with BU Management to obtain consensus on the magnitude and impact of the identified control concern. Evaluate management's proposed Corrective Action Plans (CAPS) to ensure they will remediate control weaknesses and mitigate specific risks identified. Audit Reporting and Follow-Up Draft a summary audit report whose target audience is the Management Committee, the Finance Committee and the TRPG Audit Committee. Draft a detailed audit report whose audience includes the above readers as well as BU management. Audit reports are also sent to TRPG's external auditors and may also be reviewed by various regulatory bodies upon their request. Track the status of outstanding CAPS and perform the following: test and validate all high risk control enhancements immediately upon implementation; schedule validation tests for lower risk items; verify that the progress of outstanding CAPS is on target to meet agreed-upon implementation deadlines, noting any changes to implementation dates. Report the updated status of all outstanding CAPS to Audit Manager. Special Projects Perform ad-hoc audits assigned by Audit Manager (through request from Senior Management) to assess risk associated with various internal (security breeches, system failure, reconciliation errors) or external (Sarbanes-Oxley, mutual fund trading concerns, privacy) issues. The auditor must aggressively fast-track the audit process in order to develop opinions and conclusions within constrained timeframes. Take on additional responsibilities by representing the Internal Audit Department on cross-functional teams, and volunteering for additional projects within the department. QUALIFICATIONS Required: • College degree and 2 years of related work experience, or • Associate degree and 4 years related work experience, or • High School diploma/equivalent and 6 years related work experience • Excellent written and oral communication skills • Analytical skills and experience • Excellent interpersonal skills Preferred: • Bachelors degree in Accounting or Information Systems • CISA Certification (Certified Information Systems Auditor) upon hire or immediately thereafter T. Rowe Price is an Equal Opportunity Employer
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| Job Ref No: | 00812 |
