Internal Auditor, Senior Specialist at Nasdaq

New York, New York, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial ServicesIndustries

Requirements

Bachelor’s Degree in Business Administration or related field

Responsibilities

Implement organization strategies through effective direction and management of resources, while being accountable for business strategies, functional or operational areas, processes, or programs
Manage and develop a team of people, set direction, deploy resources on varying projects, participate in organization-wide projects, and provide guidance and expertise as needed
Understand operations of other business units, align goals with organizational goals, and handle budget and profit/loss responsibility
Assess the quality of controls across all risk areas including operations, finance, regulatory, technology, M&A, and clearing
Develop, plan, and evaluate internal audit programs for accounting, statistical records, technology systems, and departmental activities to ensure compliance with policies, procedures, and standards
Ensure effectiveness of internal controls in compliance with corporate objectives and government standards, such as Sarbanes-Oxley Act (SOX)
Audit information systems and applications
Prepare reports for management on audit results, providing recommendations for improvements
Build, manage, and provide leadership to a team of professional staff (including other managers); perform talent management and development decisions
Develop and establish functional strategy and tactics to ensure successful completion of work meeting or exceeding expectations
Manage resources and take accountability for performance and results of multiple related teams
Develop departmental/functional plans, including business unit and production priorities, to address resource and operational needs and challenges
Identify, establish, and maintain relationships with key stakeholders, decision-makers, and influencers internally and externally
Provide subject matter expertise to clients, team members, and colleagues on projects
Participate in internal and external projects broad in scope and tied to organizational strategy
Conduct regular status and strategy meetings with internal and external teams to understand risks, priorities, and ensure successful outcomes
Evaluate current business processes and systems for cost-savings and risk control
Coordinate financial and budget activities for maximum operational efficiency
Review team and individual performance data (financial, sales, activity reports) to monitor productivity, goal progress, and activity levels
Motivate, develop, recruit, and retain employees while rewarding and cultivating a culture of high-performing teams
Execute and lead execution and reporting on quality of controls across risk areas including operations, finance, regulatory, technology, M&A, and clearing
Lead and perform responsibilities on multiple concurrent projects, managing conflicting priorities, achieving results on time, and adjusting scope/resources as necessary
Plan and oversee planning, interviewing, and assessment of controls and procedures for specialized and complex audit assignments, ensuring appropriate audit tools
Design testing of controls and procedures for complex audit assignments
Provide educative and consultative approach when counseling smart control recommendations
Report findings by writing internal audit recommendations aligned with corporate and regulatory standards
Advise more junior auditors
Utilize automated audit tools as an integral part of audit planning when appropriate

Skills

Internal Audit

SOX Compliance

Risk Assessment

IT Auditing

Financial Controls

Regulatory Compliance

Audit Planning

Team Management

Nasdaq

Operates electronic stock exchange and financial services

About Nasdaq

Nasdaq operates one of the largest electronic stock exchanges in the world, providing a platform for buying and selling securities. It caters to a wide range of clients, including individual and institutional investors, as well as corporations. Nasdaq offers various financial products and services, such as the Nasdaq Smart Portfolio, which uses advanced analytics to help investors optimize their stock portfolios. Additionally, Nasdaq supports non-financial marketplaces and is recognized for its efforts in sustainable investment practices. The company earns revenue through transaction and listing fees, along with subscription services for its products. Nasdaq aims for global expansion and innovation, with nearly 40 offices around the world.

New York City, New YorkHeadquarters

1971Year Founded

$9,370.5MTotal Funding

IPOCompany Stage

Data & Analytics, Fintech, Financial ServicesIndustries

5,001-10,000Employees

Risks

Adenza acquisition's high price may affect shareholder confidence and stock performance.

Integration of Metrio's ESG software may face challenges, delaying expected benefits.

Nasdaq's secondary stock offering could lead to stock dilution, affecting shareholder value.

Differentiation

Nasdaq operates one of the world's largest electronic stock exchanges.

Nasdaq offers advanced analytics through its Smart Portfolio for investment optimization.

Nasdaq is a pioneer in sustainable investment practices with a focus on ESG solutions.

Upsides

Nasdaq's acquisition of Adenza expands its financial technology capabilities.

Nasdaq's secondary stock offering could provide capital for strategic investments.

Nasdaq Private Market's Series B financing indicates strong investor confidence.

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