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Senior Manager, IT Internal Audit in Heredia at TradeStation

Date Posted: 5/24/2023

Job Snapshot

Job Description

Who We Are:
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge. At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation. 

What We Are Looking For:
The Senior Manager, IT Internal Audit is responsible for the planning and execution of all IT business operations audit activities for TradeStation.  This is an individual contributor position which will support the Directors of Internal Audit (“Directors”) in maintaining a leading practice audit function. The Senior Auditor executes the operational portions of the IT Audit Plan as approved by the Board of Directors (“the Board”), determining effectiveness of prudent business practices and compliance with applicable policies, procedures, laws, and regulations. The Senior Manager, IT Internal Audit will also perform initiatives at the direction of the Chief Audit Executive.

What You'll Be Doing:
  • Execution of the multi-location Audit Plan for business operations based on an assessment of company goals and objectives and the significant risks that threaten the achievement of those objectives:
  • Execute annual audit plan based on evaluation of objectives and risk exposure for areas under examination and assess risk in conjunction with organizational risk appetite and tolerance levels
  • Manage the business operational risk assessment process incorporating input from business leadership, develop corporate-wide audit plan, and execute and manage the on-time delivery of quality audit results
  • Maintain alignment between the Company's goals and strategies and the activities of the Internal Audit Department
  • Provide fair and balanced insights into current, emerging, and potential issues, trends, and opportunities that will enhance the efficiency and effectiveness of management and control processes
  • Inform the Directors of audit progress, major findings, and problems encountered
  • Build strong relationships with key stakeholders, Senior Management, and other key leaders. Support the Chief Audit Executive and Directors in managing relationships with the Board. Serve as a trusted advisor to management:
  • Regularly meet with key business leaders in assigned operational business units to stay informed of organizational changes; regulatory impacts; key, changing and/or emerging risks; etc.
  • Engage in management requested and/or consulting projects and provide advisory services to management on process redesign, major system initiatives, control framework, etc.
  • Project and plan ahead to help management envision future risks and opportunities
  • Perform research and attend training to maintain and enhance knowledge necessary to effectively support Audit and the business
  • Clearly articulate the role and value of the Internal Audit function, underscoring independence and objectivity
  • Participate in special projects, investigations, due diligence, reorganizations, new products, and system implementations
  • Conduct internal audits to ensure internal controls are in place
  • Effectively oversee the completion of all phases of the audit process for assigned IT audits and special projects
  • Consult with the Company's external auditors and provide assistance as needed
  • Ensure compliance with internal and external requirements
  • Assist in the annual testing and internal control assessments required by the Sarbanes-Oxley
The Skills You Bring:
  • Ability to naturally influence IT executives and to function as a business partner
  • Ability to manage multiple, changing, and competing priorities in a fast-paced, interactive, results-based team environment
  • Must be able to communicate effectively (orally and written) with professionalism and possess strong presentation skills among all levels of management
  • Ability to balance diplomacy with assertiveness and hold difficult or sensitive discussions with confidence, while gaining and/or maintaining the trust of others
  • Articulate and composed when delivering difficult messages to clients
  • Extensive knowledge in the Global Standards for the Professional Practice of Internal Auditing and can apply major control frameworks (“COSO,” “COBIT,” and related) and assess the department’s ability to conform to said Standards
  • Extensive knowledge of financial and business information systems
  • Demonstrates an in-depth and current knowledge of relevant industry, accounting, operations, and technology
  • Knowledgeable in business resumption, project management, security, computer operations, business risk assessments and financial/compliance/business/IT processes
  • Proven ability to lead projects and initiatives that drive performance
  • Capability to think both strategically and tactically about the Internal Audit function, its mission, and resources
  • Proven ability to critically assess, drive action, and deliver meaningful results in a high-paced environment
  • High level of technical and analytical capabilities, skilled at decision-making under uncertainty, combined with a common-sense approach
  • Strong work ethic, initiative, teamwork, and flexibility to assist department in meeting organizational goals
  • Adhere to the highest degree of professional standards and strict confidentiality
  • Knowledge of operating systems, database management systems, system development life cycle, and project management practices
  • Knowledge of some of the following: MS SQL RDMS, Windows OS
  • Basic networking knowledge
  • Knowledge of some of the following standards/frameworks: ISO 27001, PCI and GLBA, GDPR, CCPA, NIST
  • Knowledge of Cloud based environment, Agile and DevOps methodology preferred
  • Demonstrate strong analytical, communication and interpersonal skills
  • General experience with programming, networking, database and security concepts and technologies
Minimum Qualifications:
  • 4-year college degree in Information Technology, Accounting, Finance or other relevant major
  • 5+ years’ experience in IT audit at a “big four” public accounting firm or equivalent  
  • History of effectively interacting with Executive and Senior Management, external auditors, and Audit Committee members
  • Certified Information Systems Auditor (“CISA”) required
Additional Desired Qualifications:
  • Experience in the financial services sector
  • Certified Information Systems Security Professional (“CISSP”) or Certified Information Security manager (“CISM”)
  • Knowledge on AWS
  • Knowledge on standards such as ISO 22301, ISO 31000
  • Experience on cybersecurity and cloud audits
  • Basic knowledge on PROCOMER audits
What We Offer:
  • Collaborative work environment
  • Competitive Salaries
  • Yearly bonus
  • Comprehensive benefits for you and your family starting Day 1
  • Unlimited Paid Time Off
  • Flexible working environment
  • TradeStation Account employee benefits, as well as full access to trading education materials


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