IT Audit Management Analyst

Company Description:

As a leading global investment management firm, AB fosters diverse perspectives and embraces innovation to help our clients navigate the uncertainty of capital markets. Through high-quality research and diversified investment services, we serve institutions, individuals, and private wealth clients in major markets worldwide. Our ambition is simple: to be our clients’ most valued asset-management partner.

With over 4,400 employees across 51 locations in 25 countries, our people are our advantage. We foster a culture of intellectual curiosity and collaboration to create an environment where everyone can thrive and do their best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business, or providing thoughtful advice to clients, we’re looking for unique voices to help lead us forward. If you’re ready to challenge your limits and build your future, join us.

Audit Management Group Description:

Provide a brief overview of the IT group, including the core businesses and business functions and applications the group supports, or, if an enterprise-servicing group, what enterprise functions and applications it supports:

The IT Audit Management team is responsible for independent control testing/assurance for various technical groups to identify and remediate defects. They also serve as a coordinator between internal and external auditors and these various IT groups to ensure the auditors receive timely and appropriate evidence for their associated audit requests.

Job Description:

We are seeking a Pune based IT Risk & Control Testing Analyst to join our IT Audit Management Team in Global Technology & Operations.

Describe the role:

The IT Risk and Control Testing Analyst will join a team that provides proactive assurance testing and audit response for controls subject to SOX and SOC1. The team designs and executes tests against existing controls, identifies gaps/opportunities and suggests process improvements and remediation to control owners and risk management staff. The team also serves as a first point of contact for SOX and SOC1 auditors, ensuring that auditors receive timely and appropriate evidence/connect with appropriate subject matter experts.

This position provides a tremendous learning opportunity as its focus is primarily directed to Change Management, Technology Operations, and Security/Access domains. The role entails building sound, efficient and proactive compliance processes while nurturing positive relationships with our partners to allow the testing team to act as trusted advisors. The ideal candidate must have good time management skills, an innate desire for continuous improvement, the ability to recognize and articulate abnormal data, a willingness to influence and make recommendations that align with industry best practices and current/emerging threats, and an overall “can-do” attitude. 

This position will report to the IT Project and Risk Manager in San Antonio, Texas.

Describe the applications and business or enterprise functions the role supports:

• Global Entitlement Management System (GEMS)

• Quarterly Reconciliation & Review

• Transfer Access Reconciliation Review

• Change Management

• JIRA

• Service-Now

• Segregation of Duties Application (SODA)

• Microsoft suite of Applications (Word, Excel, etc)

The key job responsibilities include, but are not limited to:

• Provides proactive assurance testing and audit response for IT controls subject to SOX and SOC1.

• Executes tests against existing controls, identifies gaps/opportunities and suggests process improvements and remediation to control owners and risk management staff.

• Serves as a first point of contact for SOX and SOC1 auditors.

• Educate Technical Owners/Developers on the control programs.

• Assist in carrying out/back up coverage for QRR/TARR/SODA

• Provide audit evidence and response.

What makes this role unique or interesting (if applicable)?

The position provides exposure to various Technology areas throughout the organization. You will have the opportunity to have gain insight into IT processes across the firm. Through the testing services as well as audit request coordination between auditors and IT owners, you will become a subject matter expert/partner to help and advise the control owners to create/maintain sound, efficient and proactive compliance processes. 

What is the professional development value of this role, i.e. what learning and professional growth does the role offer the candidate?

This role works closely with Operations and Technology Risk, Information Security, regional Risk specialists and Internal/External auditors, as well as the individual application and system teams. The role offers the opportunity to learn more about all these domains and also encourages the candidate to continue to stay abreast of current and future standards through attendance of industry conferences and working groups.

Job Qualifications (The ideal candidate should have the following):

• Analytical and Logical Skills

• Experience with Service-Now Change Management & CI/CD pipelines.

• Superior written and verbal communication and interpersonal skills

• Ability to multitask and prioritize work.

• Ability to work independently with a minimum amount of oversight.

• Team player able to work in a global team.

• Intermediate level understanding of the IT General Controls in relation to relevant audits

• Knowledge of statistics & statistical analysis

Qualifications, Experience, Education:

• 3+ years’ experience in an audit, risk or compliance role

• Thorough understanding of control design and test principals

• Ability to perform tests and data analyses that are detailed, complete, and accurate.

Skills:

• Strong project management skills

• IT Knowledge of Change Management, Technology Operations domains.

• Proficiency with Microsoft Applications (Access, Excel, SharePoint, OneNote)

Special Knowledge (if applicable):

• Service-now Change Management module (Nice to have)

Pune, India