Audit Manager - Technology bei Guggenheim Investment

Position Summary

Guggenheim Investments is seeking an experienced Vide President of Technology Audit. This position will report to the Head of Internal Audit and will be responsible for implementing and managing a risk-based audit plan to assess the adequacy and effectiveness of the technology governance, risk and control framework.

This position will be in New York 4 days per week and will require some travel, primarily domestic, but other travel may be required.

Responsibilities

Audit Leadership & Strategy

• Support the Head of Audit, develop and execute the annual technology audit plan based on risk assessment and business priorities.
• Provide strategic direction for technology-related audits, including IT general controls, cybersecurity, third-party risk, cloud infrastructure and artificial intelligence initiatives.
• Partner with the Head of Audit, CTO and other senior stakeholders on emerging technology and regulatory risks.
• Foster a culture of continuous improvement, innovation, and audit excellence

Audit Execution & Oversight

• Conduct the planning, execution, and reporting of IT audits, including cybersecurity, data privacy, infrastructure, third-party risk, application controls and system implementation reviews.  Additionally, assist in the execution and delivery of business audits.
• Ensure audits are delivered efficiently, with high quality, and in accordance with Institute of Internal Auditors standards and internal methodologies.
• Track remediation of audit findings and assess the adequacy of management’s corrective actions.
• Work seamlessly with the business audit team as a team member on audits or as a leader.

Risk Management & Stakeholder Engagement

• Maintain strong working relationships with Technology, Operations, Compliance, and key business leaders.
• Act as the Internal Audit SME for technology risks, helping to shape the firm’s risk framework and control testing strategy.
• Represent Internal Audit at IT risk committees, regulatory meetings, and Audit Committee-level audit presentations when needed.

Team Leadership & Development

• Lead, coach, and mentor GI Internal Audit business auditors on IT audit skills; develop talent to meet evolving audit needs.
• Foster a culture of continuous improvement, innovation, and audit excellence.

Qualifications

Basic Qualifications

• 7-10 years of experience in Technology audit or consulting with financial services companies, preferably with a concentration in registered investment advisors and broker dealers.  The ideal candidate will also possess a foundational understanding of business processes relevant to financial services organizations.
• B.B.A. / B.S. in Accounting, Finance, Economics, Computer Science or Engineering required.

Preferred Qualifications

• Certification preferred CISA, CIA, CISM.
• Deep understanding of IT general controls, cybersecurity, data privacy, application development, infrastructure platforms (e.g., cloud, network) and artificial intelligence.
• Familiarity with industry standards (e.g., NIST, ISO 27001, COBIT, FFIEC) and relevant regulations (e.g., GDPR, state privacy laws, Executive Order on Safe, Secure, and Trustworthy AI and other related AI guidance).
• Excellent leadership, communication, and interpersonal skills.
• Strategic mindset with strong analytical and critical thinking abilities.

Salary Range

Annual base salary between

$0.00-$180,000.00

The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.

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