Senior Auditor

Job Description

Are you ready to make an impact at DTCC?


Do you want to work on innovative projects, collaborate with a dynamic and supportive team, and receive investment in your professional development? At DTCC, we are at the forefront of innovation in the financial markets. We're committed to helping our employees grow and succeed. We believe that you have the skills and drive to make a real impact. We foster a thriving internal community and are committed to creating a workplace that looks like the world that we serve.

Pay and Benefits:

• Competitive compensation, including base pay and annual incentive
• Comprehensive health and life insurance and well-being benefits, based on location
• Pension / Retirement benefits
• Paid Time Off and Personal/Family Care, and other leaves of absence when needed to support your physical, financial, and emotional well-being.
• DTCC offers a flexible/hybrid model of 3 days onsite and 2 days remote (onsite Tuesdays, Wednesdays and a third day unique to each team or employee).

The Impact you will have in this role :

This role is responsible for executing risk-based audits from planning through reporting, delivering high-quality work within established timelines and budgets. The individual partners with stakeholders to assess control effectiveness, identify gaps, and provide clear, actionable insights that strengthen the control environment.

The role also focuses on collaboration and continuous improvements - supporting team development, enhancing audit and data analytics capabilities, and contributing to initiatives that modernize audit practices and elevate the overall impact of Internal Audit.

Your Primary Responsibilities :

Proactively Influence the Control Environment

• Completes risk-focused planning, fieldwork and reporting that is on time and within the allocated budget, notifying the lead auditor promptly of any issues that arise or when budgets or timelines are at risk.
• Understands PRC/RCM and can create test steps/identify when testing strategy needs to be modified.
• Speaks clearly and concisely and is able to lead meetings with the auditee throughout the audit.
• Lead the completion of audit plan and team status meetings.
• Prepares issue matrix to be reviewed by Managers or Team Leaders.
• Execute all sections of the Planning Memo as assigned.
• Writes clearly to demonstrate detailed knowledge of the area being audited for a reader to understand their testing and conclusion.
• Possesses and demonstrates a strong understanding of audit techniques, including data analytics.
• Understands and performs root cause analysis for issues.
• Participates in building and executing continuous monitoring tests.
• Plan testing strategies and execute issue validation fieldwork without assistance.
• Validates the completion of issues under the guidance of a supervisor.

Strengthen IAD Talent and Engagement

• Continually broadens their skills, talents and knowledge of audit processes and products/functions they audit.
• Strong commitment to teamwork and collaboration demonstrating a willingness to assist peers and
• supervisors however possible.
• Takes initiative to act as buddy to new team members and interns.
• Mentors more junior team members.
• Seeks feedback for improvement and effectively applies that feedback to continuously improve.
• Looks for training courses on ProEdge or other training systems to help meet goals.
• Sets goals and adjusts throughout the year while having regular catch-ups with manager. Helps junior members of the teams in setting appropriate goals
• Looks to increase knowledge of data analytics and how they can be applied. Actively looks for opportunities to use data analytics in audits and/or has created data analytics included in the DA library.
• Speaks with manager periodically about different licenses and certifications that they could look to achieve now or in the future.

Maximize DTCC IAD Brand Image

• Develop professional and productive relationships with auditees in order to meet audit objectives.
• Participate in industry groups that align with career aspirations and goals.
• Participates in internal and external recruiting efforts.

Elevate IAD Role & Value

• Basic understanding of organization, structure, entities, and interconnectedness of functional processes (e.g. HR, Treasury, Legal).
• Formulates control issues that are not properly designed or are not operating effectively elevating IAD's value to the organization.
• Works closely with auditees to verify timely progress and closure of issues and underlying remediating actions.

Modernize Audit Tools, Practices, and Approach

• Demonstrates a strong knowledge of our policies & procedures, particularly work paper documentation standards and issue management.
• Supports digital strategy roadmap and participates in select continuous improvement initiatives.

**NOTE: The Primary Responsibilities of this role are not limited to the details above. **

Qualifications:

• Minimum of 5 years of related experience
• Bachelor's degree preferred or equivalent experience
• Certifications related to the candidate's coverage responsibilities are beneficial, but not required, such as Certified Internal Auditor (CIA), CPA, CFA, Financial Risk Manager (FRM), and Certified Information Systems Auditor (CISA)

Talents Needed for Success:

• Previous internal or external audit experience is helpful, but not required.
• Strong analytical and problem-solving skills
• Strong commitment to teamwork and collaboration
• Strong written and oral communication skills

The salary range is indicative for roles at the same level within DTCC across all US locations. Actual salary is determined based on the role, location, individual experience, skills, and other considerations. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

About Us

With over 50 years of experience, DTCC is the premier post-trade market infrastructure for the global financial services industry. From 20 locations around the world, DTCC, through its subsidiaries, automates, centralizes, and standardizes the processing of financial transactions, mitigating risk, increasing transparency, enhancing performance and driving efficiency for thousands of broker/dealers, custodian banks and asset managers. Industry owned and governed, the firm innovates purposefully, simplifying the complexities of clearing, settlement, asset servicing, transaction processing, trade reporting and data services across asset classes, bringing enhanced resilience and soundness to existing financial markets while advancing the digital asset ecosystem. In 2024, DTCC's subsidiaries processed securities transactions valued at U.S. $3.7 quadrillion and its depository subsidiary provided custody and asset servicing for securities issues from over 150 countries and territories valued at U.S. $99 trillion. DTCC's Global Trade Repository service, through locally registered, licensed, or approved trade repositories, processes more than 25 billion messages annually. To learn more, please visit us at or connect with us on LinkedIn, X, YouTube, Facebook and Instagram.

DTCC proudly supports Flexible Work Arrangements favoring openness and gives people freedom to do their jobs well, by encouraging diverse opinions and emphasizing teamwork. When you join our team, you'll have an opportunity to make meaningful contributions at a company that is recognized as a thought leader in both the financial services and technology industries. A DTCC career is more than a good way to earn a living. It's the chance to make a difference at a company that's truly one of a kind.

Learn more about Clearance and Settlement by clicking here.

About the Team

The Internal Audit Department's (IAD) mission is to deliver independent assessments of the organization's overall control environment and to promote proactive risk identification and mitigation.