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Description

Job Summary

This role is part of the branch examination program, focused on virtual computer reviews, server maintenance requirements, information security, and other technology-related security assessments within the PCG branch office locations to ensure compliance with firm policies and procedures. The role will be responsible for interactions with branch personnel to perform the virtual inspections of branch technology equipment. It will require close coordination with branch examiners to ensure timely reporting of any issues noted. Additional responsibilities may include vendor contract analysis and testing to evidence permitted conditions of use. Responsible for ensuring IT assurance and compliance-related activities are completed following industry standards and regulatory requirements. Demonstrates subject matter expertise and can integrate domain knowledge with an understanding of financial services standards and practices. Applies specialized business knowledge and technical skills to identify gaps in branch compliance with information security requirements and standards.

Essential Duties and Responsibilities

• Seeks understanding of risks and procedures sufficient to understand the reasons for tasks being performed.

• Assess the risks associated with the various business objectives and evaluate the controls in place to mitigate those risks

• Performs control assurance testing activities

• Conduct interviews, virtual walk-through, and document results

• Prepare work papers and coordinate receipt of audit materials required to analyze, test, and evaluate the entity’s controls environment

• Communicate findings to business, compliance, and/or IT partners, as appropriate

• Advise process owners on potential gaps in controls

• Identifies, implements, and maintains processes and tolls to support assurance, compliance, and remediate tracking activities (e.g. testing, maintenance of controls, documentation)

• Performs other duties and responsibilities, as assigned

Qualifications

Knowledge, Skills, and Abilities

Knowledge, Skills, and Abilities:

• Strong background in information security, with a specific focus or experience in testing end-user controls

• Strong organizational skills required, such as ability to multi-task and manage multiple examinations at once

• Report writing and technical writing skills must be strong as well to ensure report quality and track vulnerabilities

• Identify and understand issues, problems and opportunities; compare data from different sources to draw conclusions.

• Clearly convey information and ideas through a variety of media to individuals or groups in a manner that engages the audience and helps them understand and retain the message.

• Use effective approaches for choosing a course of action or developing appropriate solutions; recommend or take action that is consistent with available facts

• Demonstrate a satisfactory level of technical and professional skill or knowledge in position-related areas; remains current with developments and trends in areas of expertise.

• Develop and use collaborative relationships to facilitate the accomplishment of work goals.

• Make internal and external clients and their needs a primary focus of actions; develop and sustain productive client relationships.

Education/Previous Experience:

• TYPICALLY requires a Bachelor's degree; 3-5 years of relevant experience. May have one or more technical or business-related certifications.

• Minimum of a Bachelor’s degree in Computer Science, MIS or related degree and three (3) years of relevant experience in auditing or risk assessing or combination of education, training and experience.

• Experience within a highly regulated environment like Financial Services required.

Licenses/Certifications:

• Information Security certifications such as CISSP, GCCC, CIA, CISA, Security , Network , Linux , or other SANS certifications are preferred

Job: Compliance

Primary Location: United States

Organization RJF Corporate

Schedule Full-time

Job Shift Day Job

Travel No

Req ID: 2401814