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As a Global Assurance Director, you are responsible for leading the assessment of risk within a focused CME Group functional area, e.g., Compliance, Finance, Clearing House, Technology, etc. The Director has ultimate accountability in overseeing the management of audits, risk assessment, and consulting (advisory) projects to provide reasonable assurance to the Senior Leadership Team and Audit Committee regarding the existence and effectiveness of internal controls. The role is also responsible for managing GA’s response to various regulatory requests and examinations, including those from the CFTC, SEC, Bank of England, Securities Commission (Malaysia), etc. This position requires strong business and/or technical knowledge as it pertains to the regulated financial industry. As a people leader, you will manage and provide mentorship to your team of auditors to effective execute the audit plan with a high level of quality, while ensure all things people related are consistent with GA’s culture, mission, and vision.
- Serve as a strategic member of the GAMT, managing a team of auditors in driving execution of the department’s audit plan, goals, and Audit Committee’s (AC) priorities.
- Own the annual Risk Assessment process and audit plan for your assigned CME business processes and functions; maintain a dynamic, risk-based audit universe, including ongoing risk assessment and identification of prioritization among auditable entities based on company and AC strategic priorities.
- Facilitate hiring, acclimation, and training of GA team members, including consultants and (on and offshore) co-source partners; manage contract relationships.
- Establish and manage a collaborative relationship with CME Senior Leaders within the assigned business processes to identify and mitigate risk to the enterprise.
- Ensure each audit is effectively planned, executed, and reported upon. This will include ensuring that your team of Audit Managers designs audits to evaluate the adequacy and effectiveness of internal controls, verify compliance with corporate policies and procedures, and identify operating efficiency and cost reduction opportunities.
- Attend enterprise-level forums as a delegate for the Chief Audit Executive (e.g., Risk Management Team, Disclosure, SOX, Compliance/Ethics Team, Steering Committees of major projects or initiatives, etc.).
- Assist Chief Audit Executive in responding to regulatory requests, preparing for regulatory exams, and presenting GA process and results to regulators.
- Assist GA in developing best practices and standards.
- CPA, CIA, CFE, CISA, CISSP, Chartered Accountant or relevant certification required.
- Understanding of various governance frameworks and standards such as COBIT, ISO, NIST, COSO, and CFTC Regulations.
- Proficiency with Microsoft Office applications
- Experience with data analysis tools (e.g., Tableau, QlikView, ACL, Business Objects).
- Experience with GRC systems (e.g., TeamMate, Archer), or similar electronic workpaper management tool.