IT Audit​/Electronic Trading Controls Consultant - Onsite

Position: IT Audit / Electronic Trading Controls Consultant - Onsite
Genesis
10 is currently seeking a IT Audit / Electronic Trading Controls Consultant with our financial services client in their New York, NY location. This is a 2 month + contract position and requires 5 days per week onsite.

Summary:

Our client is seeking an experienced consultant to support its Internal Audit organization with a specific focus on Electronic Trading (e-Trading) technology, controls, and risk within the Global Markets environment. The ideal candidate will bring 4–5+ years of relevant experience spanning electronic trading, technology audit, engineering/technology controls, second-line risk, or a related control function. Candidates should have direct exposure to the systems, processes, business requirements, or controls supporting electronic trading.

Equities experience is strongly preferred, particularly exposure to equity options and derivatives; however, candidates with relevant electronic trading experience in FX or Credit will also be considered. This individual will serve as an e-Trading subject matter expert, supporting a combination of BAU and regulatory-driven audit work. The consultant must be able to understand how electronic trading controls are implemented within technology environments and clearly document those controls and associated testing for review by senior stakeholders.

Responsibilities:
Perform technology and controls reviews of electronic trading platforms and processes, with a focus on Equities, equity options, and derivatives. Evaluate the design and effectiveness of controls supporting electronic trading systems, including controls related to order handling, execution, market conduct, execution quality, client protection, security, availability, performance, and data integrity. Understand business requirements and their technical implementation to identify key risks and determine where relevant controls reside within electronic trading applications and workflows.

Review system architecture, application logic, technical documentation, and, where appropriate, source code to understand how trading controls have been implemented. Design and execute audit test procedures to validate electronic trading controls, including control walkthroughs, code review, system-process re-performance, and supporting data analysis. Partner with technology, engineering, trading/business stakeholders, risk, compliance, and other control functions to understand processes and assess control effectiveness.

Support BAU and regulatory-driven audit work related to electronic trading and associated technology environments. Analyze business and technology processes to determine whether system features and controls meet applicable business, technology, risk, and regulatory requirements. Leverage AI-enabled development and code-review tools, where appropriate, to assist with the review of application code and control implementation. Independently validate AI-generated code analysis by identifying where controls reside within the application and confirming that AI-generated conclusions accurately reflect the underlying implementation.

Analyze data using appropriate tools to identify control exceptions, trends, and potential areas of risk. Assist with risk assessments, audit scoping, planning, testing, and reporting. Produce clear, detailed, and easy-to-follow audit work papers and technical documentation that can withstand review by Internal Audit leadership and other stakeholders. Document testing performed, evidence reviewed, conclusions reached, and identified control gaps within the Internal Audit documentation repository.

Assist with presenting audit scope, progress, findings, and conclusions to technology and business stakeholders. Support preparation of audit reports…