Sr Director of IT Audit

Broadridge is growing! Our Corporate Audit team is recruiting for an IT Director Audit within our Corporate Technology Audit Group, to perform audits of Broadridge technology infrastructure.

The Technology Corporate Audit Group focuses on executing audits of information technology throughout Broadridge. This team is primarily focused on the portfolio of core infrastructure and technology processes provided by the Broadridge Information Technology Group, including audits of the technology tools and support services.

Specific areas of focus within the Infrastructure IT Audit Team portfolio include:

  • IT operations, including service availability management, system monitoring and batch processing;
  • Change, problem & incident management;
  • IT asset management and inventories;
  • Platform engineering and support for mainframe, midrange and distributed platforms, including configuration, build, vulnerability and patch management;
  • IT governance, including strategic design, executive reporting and process management;
  • Data center environmental and physical security controls;
  • Data storage and transmission management;
  • IT end-user support services and tools, including work-station, messaging and mobile technologies.

As an IT Director on the Corporate Audit team you will play an important and dynamic role in connecting with our technology and business partners. You will monitor the business to identify key emerging risks, and will also support associate team member development.

Key job responsibilities for this position include the following:

  • Leads execution of the audit process (primarily as auditor-in-charge), including performing the IT Audit fieldwork and mentors associate members. Will also participate in audits (under the direction of another lead auditor) to provide subject matter knowledge/skills and/or to design and conduct tests of internal controls.
  • Often leads projects that are generally moderate to large in size and moderate to high in complexity. When leading audits, applies leadership and project management skills to identify project tasks with team members and ensures that projects are executed according to budgets and schedules.
  • Demonstrates strong subject matter knowledge in critical areas of technology infrastructure, information security, and technology service processes. Participates in the evaluation of information technology policies, standards, procedures, and guidelines for multiple platforms and technology processes. Identifies and assesses key risks and controls and develops effective test plans for engagements with limited guidance. Documents work in accordance with professional and corporate quality standards.
  • Exercises superior judgment when evaluating the business impact and significance of audit findings, identifying mitigating controls and other factors and assessing whether residual risks are consistent with risk tolerance and prudent risk management
  • Demonstrates professional skepticism, presents audit results in an objective and unbiased manner, writes opinions reflecting relevant facts that lead to logical conclusions, escalates significant risks and loss exposures to appropriate levels of management, drafts final audit reports, and presents technical information clearly and succinctly to a wide variety of audiences.
  • Drafts audit reports and recommendations to improve control processes to executive management that clearly present audit results while considering the business context
  • Develops valuable and trusting relationships with internal business partners by executing efficient audit work and offering suggestions to enhance risk management based on an enterprise-wide view of technology risk management

Travel — up to 20%

  • LI-MR1
  • TM_01

Required Qualifications

6+ years of experience in one of the following: audit, technology risk management, information security, IT program management, technology governance, or availability management

Desired Qualifications

Ability to execute in a fast paced, high demand, environment while balancing multiple priorities

Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

Excellent verbal, written, and interpersonal communication skills

Good analytical skills with high attention to detail and accuracy

Solid problem solving skills

Strong organizational, multi-tasking, and prioritizing skills

Certified Information Systems Security Professional (CISSP)

A BS/BA degree or higher in information systems

Demonstrated experience scoping and executing audits focused on mainframe, midrange and/or distributed platforms, with a strong understanding of the controls and technical requirements/considerations, including supporting tools, for these platforms

Demonstrated experience scoping and executing audits focused on desktop and mobile platforms, with a strong understanding of the controls and technical requirements/considerations, including supporting tools, for these platforms

Risk or compliance experience

Solid knowledge and understanding of audit methodologies and tools that support audit processes

Certification in one or more of the following: CISSP, CIA or CISA designation

Leadership experience for professional auditors, risk management, or project leadership professionals

Broadridge Financial Solutions, Inc. (NYSE:BR) is the leading provider of investor communications and technology-driven solutions for broker-dealers, banks, mutual funds and corporate issuers globally. Broadridge’s investor communications, securities processing and business process outsourcing solutions help clients reduce their capital investments in operations infrastructure, allowing them to increase their focus on core business activities. With over 50 years of experience, Broadridge’s infrastructure underpins proxy voting services for over 90% of public companies and mutual funds in North America, and processes more than $5 trillion in fixed income and equity trades per day. Broadridge employs approximately 6,700 full-time associates in 14 countries.

Broadridge helps financial institutions and corporate issuers in two ways, through technology and operations outsourcing, and across a number of business categories. Because of our deep experience and world-class capabilities, our clients entrust us with mission-critical responsibilities. Across a wide range of needs, Broadridge offers not only services, but solutions for your business.

Broadridge is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability status, or any other status protected by law. Click here to view the “EEO is the Law” poster.

“Our Associates Matter, Everyone Benefits from Diversity & Inclusion,

Diverse & Inclusive Teams Drive Growth”

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled


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