IT Risk Audit Manager

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Tradeweb LLC
  • 19 Apr 19

IT Risk Audit Manager

The primary role of the IT Risk Audit Manager is to ensure that processes, procedures, policies and compliance mandates are being followed within Tradeweb. This will be achieved by leading a team to carry out audits, collect and evaluate evidence of the organization's information systems, practices, operations entitlement reviews, and process reviews to ensure compliance to policy. Perform risk assessments, and other IT compliance based assessments.

Another important aspect of this role is working with external entities (Clients, Auditors, other 3rd Parties) and therefore representing Tradeweb in a myriad professional settings. It is imperative that the IT Risk Audit Manager possess the skillset necessary to interact with both internal and external personnel at a senior and junior level.

Additional responsibilities will include facilitating process improvement activities, participating in information security assessment projects and other compliance and risk management related activities. This position will have global oversight, and may involve meeting with Auditors, Regulators, Consultants, Contractors and Clients on a regular basis. Excellent interpersonal skills are required.

This role requires someone who is able to prioritize their work effectively and who can effectively communicate complex issues to non-technology team members.

Job Responsibilities:

  • Responsible for internal controls and risks of the technology infrastructure and network.
  • Identifying weaknesses in the technology infrastructure and network and create an action plan to prevent breeches in the technology.
  • Assist in developing, implementing, enforcing and validating information security policies, standards, methods and procedures
  • Monitoring compliance across the enterprise using tools and automation where technically feasible
  • Manage internal and external audits (SOC1, SOC2, SOX404 etc.) at all levels, up to an including completion of audits and assisting with closeout of audit findings
  • Develop program of Internal IT Audit for all business lines and IT Infrastructure (including Networks)
  • Perform compliance assessments to help ensure the integrity and quality of information system assets
  • Help to protect systems from intentional or inadvertent access or destruction
  • Ensure our personnel and clients adhere to necessary procedures to help maintain compliance with cyber and information security policies, procedures and standards
  • Advise management of critical technology compliance issues that may affect clients or internal personnel


  • Responsible for helping to manage relationships with business units and external clients, in matters related to technology compliance and risk


Qualifications:

  • Ability to grasp and understand business processes and technology used within Tradeweb
  • 5+ years of risk and audit management and/or internal controls at financial or accounting institution
  • Analytical/critical thinking and communication abilities
  • Demonstrate professional skepticism to ensure evidence is sufficient when assessing the relevant controls
  • Communicate and present concisely and effectively based on appropriate level of management interaction
  • Manage competing deadlines and prioritize responsibilities to effectively meet business needs
  • Develop and teach less experienced staff when required
  • Work both independently and as part of a team at all levels and across all business units
  • Demonstrate an understanding of business processes, internal control risk management, IT controls, and how they interact together
  • Demonstrate solid knowledge of information security risks and countermeasures
  • Bachelor's Degree completed or relative work experience required
Desirable Skills
  • Training/certification in Computer Security, formal training (MS in Computer Security or related discipline) preferred.
  • CISSP, CISA or CISM qualifications highly desired
  • Project management experience
  • IT Audit experience
  • Vendor management experience


About Tradeweb:

Tradeweb is a leading, multi-asset class, electronic trading venue for fixed income, derivatives and ETFs. Tradeweb offers institutional, wholesale and retail market participants unparalleled liquidity, cutting-edge technology and a broad range of data solutions that deliver better price discovery, order execution and trade workflows. The company serves more than 2,000 clients including banks, mutual funds, hedge funds, pension funds, insurance companies, central banks, corporates, inter-dealer brokers, brokers, financial advisors and registered investment advisors in over 50 countries across the Americas, Europe and Asia. Tradeweb operates trading platforms in more than 25 products including government bonds, mortgages, corporate bonds, municipal bonds, interest rate swaps, credit defaults swaps rates, repurchase agreements and equity derivatives. In an average trading day, Tradeweb facilitates more than $525 billion in notional value traded.

Tradeweb Markets LLC (\"Tradeweb\") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer.