Who We Are
Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
Job Description
Oppenheimer & Co. Inc. is seeking a driven IT Audit professional ready to take the next step in their career. As a Staff IT Auditor, you’ll play a key role in evaluating and strengthening our firm’s IT controls, performing audits and ensuring compliance with Sarbanes-Oxley, SSAE-18 and FINRA 3130 standards.
The ideal candidate will collaborate with business units to enhance IT controls, ensure adherence to regulatory requirements, and stay current with evolving audit practices. Strong analytical, communication, and problem-solving skills, along with a proactive and detail-oriented mindset, are essential.
Responsibilities
- Perform internal IT audits and Sarbanes-Oxley, SSAE-18 and FINRA 3130 testing under the general direction of the Head of Internal Audit or his designee in compliance with audit standards, schedules and regulatory expectations
- Develop an understanding of the function/department and how it relates to other areas of the firm and assist in preparing written deliverables, including a planning memo, risk and control matrix, testing procedures and a draft audit report
- Perform IT audit tests, evaluate audit test results and discuss potential issues with the Head of Internal Audit
- Present audit findings and recommendations and discuss their implications with the auditee
- Prepare and maintain audit documentation in accordance with industry highest quality standards and internal approved guidelines
- Keep current with audit best practices, industry knowledge and regulations through continuing education
Skills/Requirements
- Bachelor’s degree in either Accounting, Business, Finance, Computer Science, Business Analytics, or Information Systems
- Minimum of 2+ years of IT audit experience
- Excellent problem-solving skills
- Strong analytical ability and comfort working with data, documentation, and process flows
- A high degree of initiative, inquisitiveness, enthusiasm and attention to detail
- Excellent written and verbal communication skills
- Eager to stay ahead of industry trends and best practices
- Foundational understanding of internal control concepts, audit principles, and risk assessment methodology
- Familiarity with securities industry operations, FINRA/SEC regulatory environment, and broker-dealer supervisory processes is a plus
- Proficiency with Microsoft Office (Excel, Word, PowerPoint, Visio); experience with data analysis tools (e.g., IDEA, Tableau) is a plus
- CIA, CISA, CISSP or equivalent certifications or progress toward certification is preferred, but not required
Compensation
For job postings in New York City, Oppenheimer is required by law to include a reasonable estimate of the salary range for this role. This salary range is specific to the City of New York and takes into account the wide range of factors that are considered in making salary decisions including but not limited to your skills, qualifications, experience, licensure and certifications, and other business and organizational needs. A reasonable estimate of the current base salary range is $70,000.00 - $85,000.00 at the time of this posting. Also, certain positions are eligible for additional forms of compensation such as discretionary bonus.
