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Senior IT Auditor - Ladenburg Thalmann

Securities America, Inc. La Vista, NE

Job Description

The senior IT auditor works with internal audit, business and IT Management to plan and perform basic to complex internal and enterprise-wide IT, operational and regulatory audits. This responsibility includes performing internal audits of the development life cycle, cyber security procedures and third party risk management. Additional responsibilities include: Identifying control deficiencies, assessing exposure and significance, proposing cost effective recommendations and preparing internal audit reports reflecting the results of the work performed. The senior IT auditor may perform follow-up on the status of outstanding audit issues.

Job Duties/Tasks:
This position is responsible for, but not limited to the following:

  1. Assist with the development the IT risk assessment by understanding business objectives, supporting technology and supporting IT infrastructure.
  2. Perform audit work at locations world-wide utilizing established guidelines to analyze the adequacy of internal controls and compliance with corporate procedures
  3. Prioritize and assist in scheduling audit tests to be performed, and interact with auditees to obtain the necessary information
  4. Assist in the identification of audit requirements and development of recommendations that will facilitate business unit compliance to policies and regulations
  5. Contribute to identification of department operational efficiencies and changes in auditing operations that could lead to savings in money or time 
  6. Assess both the design and operating effectiveness of internal controls
  7. Evaluate the adequacy and effectiveness of the controls over the activities reviewed
  8. Evaluate controls over financial reporting process
  9. Participate on fraud or special investigations
  10. Communicate audit results and recommendations both orally and in writing to the appropriate management
  11. Schedule and conduct presentations at meetings with auditees and management as needed
  12. Participate in audit teams and department committees
  13. Acquire additional knowledge of laws and regulations
  14. Performs other duties as assigned

Required Qualifications:

  • 3+ years’ experience in internal or external information systems auditing
  • Ability to travel (approximately 25%)
  • Excellent analytical skills
  • Ability to resolve problems and make decisions independently
  • Excellent verbal and written communications
  • Skilled in operating personal computer and various software packages (Microsoft Office, Outlook, Excel, etc.) 

Preferred Qualifications:

  • Bachelor’s degree in Information Systems, Accounting, Finance, Business Administration or equivalent experience
  • CISM, CGEIT, CRISC, CISA, CISSP, CIA, or relevant certification
  • Knowledge of FINRA, SEC and compliance rules and regulations
  • 2+ years previous financial services industry or audit experience 


Job Details

Date Posted November 7, 2018
Date Closes December 22, 2018
Located In La Vista, NE
Department Internal Audit
Job Type Full-time Employee
Compensation Salary, Varies, Based on Experience
Experience Level Intermediate (3-7 yrs. experience)
Positions Available 1
SOC Category 15-1122.00 Information Security Analysts
Zipcode 68128
Travel Yes - 25
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases
At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...