Director - Head of Technology Audit

Job Description:

Director - Head of Technology Audit

Guggenheim Securities (GS)

About the Position

GS is seeking an experienced Head of Technology Audit. This position will report to the GS Chief Internal Auditor (CIA) and will be responsible for implementing and managing a risk-based audit plan to assess the adequacy and effectiveness of Guggenheim Securities Information Services (GSIM), risks and controls framework.

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

Specific Responsibilities Include

• Technology Audit Leadership & Strategy

• Support the CIA, 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, and cloud infrastructure.
• Partner with the GS CIA, CIO and other senior GSIM stakeholders on emerging technology and regulatory risks.

• Audit Execution & Oversight

• Oversee the planning, execution, and reporting of IT audits, including application controls and system implementation reviews.
• Ensure audits are delivered efficiently, with high quality, and in accordance with IIA 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 GSIM, 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 board-level audit presentations when needed.

• Team Leadership & Development

• Lead, coach, and mentor the GS IAD; develop talent to meet evolving audit needs.
• Foster a culture of continuous improvement, innovation, and audit excellence.

Skills & Experience Required

• 10+ years of experience in Technology audit or consulting with financial services companies, preferably with a concentration in FINRA, SEC-registered broker dealers  
• B.B.A. / B.S. in Accounting, Finance, Economics, Computer Science or Engineering required
• Certification preferred CISA, CIA, CISM
• Deep understanding of IT general controls, cybersecurity, data privacy, application development, and infrastructure platforms (e.g., cloud, network).
• Familiarity with industry standards (e.g., NIST, ISO 27001, COBIT, FFIEC).
• Experience in electronic/algorithmic trading preferred
• Excellent leadership, communication, and interpersonal skills.
• Strategic mindset with strong analytical and critical thinking abilities.

Salary

·       Annual base salary between $200,000 - $250,000.

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.

About Guggenheim Partners

Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Learn more at GuggenheimPartners.com, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.

About Us:

Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Chicago, Boston, Atlanta, San Francisco, and Houston.

For more information, please visit GuggenheimSecurities.com, follow us on LinkedIn or contact us at GSLateralRecruiting@guggenheimpartners.com or 212.518.9200.

Guggenheim Securities, LLC (“GS”) does not accept unsolicited resumes or applications. GS considers any resume or application to be unsolicited if (a) received from an entity or individual without a current recruiting agreement with GS or (b) submitted to anyone at the firm other than through the process set forth in the recruiting agreement between GS and the submitting entity or individual, and GS will not pay a fee to any entity or individual for such submission.