Associate Principal, Internal Audit Data Analytics


This role will lead audits related to complex technology environment, business processes and support the strategic goals of the audit function. The Associate Principal is responsible for understanding the complexity of the IT and Security operations and aligning audits to relevant regulatory, IT, information security, operational, and strategic risks and presenting recommendations for improvements to senior leadership.


  • Ability to clearly articulate professional principles and standards (i.e., AICPA, IIA IPPF, COBIT, NIST CSF, etc.) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls
  • Maintaining an understanding of policies, procedures, standards, and supporting technologies to effectively identify potential risks and creative alternatives to mitigate risk exposure
  • Keeping current on leading practices and emerging risks in IT, information security, and cyber security within the financial services industry and making recommendations for enhancements, as necessary
  • Defining and leading the execution of audit projects in accordance to the annual audit plan
  • Owning the audit quality, accuracy of results, and delivery in a timely manner
  • Providing oversight and coaching the internal team, both internal and/or co-sourced resources, confirming the delivery, quality, and auditee experience
  • Planning, leading, and reporting for risk based special request audit assignments
  • Proactively identifying regulatory, IT, information security, operational, and/or strategic risks to the organization and deliver recommendations for improvements to senior leadership
  • Identifying and analyzing root cause exceptions or inefficient practices and partnering with management provide advice and recommendations develop achievable solutions
  • Developing, maintaining, and strengthening effective relationships with IT, business groups and leadership and partnering with management
  • Serving as a liaison with external parties and regulators to facilitate timely and efficient external reviews, knowledge transfer, and controls and process education
  • Perform other duties as assigned

Supervisory Responsibilities

  • None

Qualifications & Experience

  • [Required] Knowledge of the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA)
  • [Required] Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports
  • [Required] Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions
  • [Required] Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion
  • [Required] Demonstrated leadership and coaching abilities of staff level resources
  • [Required] Strong problem solving and analytical capabilities
  • [Required] Demonstrated previous success in leading audit projects and implementing audit leading practices in a complex technology environment
  • [Required] Strong customer service and collaboration skills required
  • [Required] Effective influence, analytical and verbal/written communication skills required

Technical Skills & Background

  • [Required] Advanced proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software


  • [Preferred] Certified Information Systems Auditor (CISA), Certified Information Systems Security Professional (CISSP), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or similar certification required

Education & Training

  • [Required] Bachelor’s degree (or equivalent) in Information Technology, Accounting, Finance, Business Administration, or related field
  • [Required] Experience working in a complex, fast paced environment required
  • [Required] 5+ years of audit experience in conducting IT risk-based audits and projects, and IT process reviews
  • [Preferred] Consulting/accounting firm experience is a plus
  • [Preferred] Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and/or Financial Industry Regulatory Authority (FINRA)is a plus

Step 1
When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.  

Step 2
You will receive an email notification to confirm that we've received your application.

Step 3
If you are called in for an interview, a representative from OCC will contact you to set up a date, time, and location. 

For more information about OCC, please click here.

OCC is an Equal Opportunity Employer

Apply About OCC
  • REQ-3081
  • Chicago - 125 S Franklin
  • Full Time Regular
  • Posted: Jan. 05, 2023

How to Apply

Step 1 - When you find a position you're interested in, click the 'Apply' button. Please complete the application and attach your resume.

Step 2 - You will receive an email notification to confirm that we've received your application.

Step 3 - If you are called in for an interview, a representative from OCC will contact you to set up a date, time, and location.

OCC is an Equal Opportunity Employer

Numerous studies have shown that people from groups that are traditionally under-represented in financial services apply to jobs only if they believe they meet 100% of the requirements. We want to break down this mindset to further diversify our workforce.

We encourage you to review our open positions and apply if you think your experience may be a match, even if you do not meet all of the qualifications. Your perspective may be an element we need to continue building innovative solutions to support the markets and market participants we serve.

OCC is a globally recognized entity that clears a multitude of diverse and sophisticated products. We want to reflect this in the diversity of our workforce.

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