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Dallas / Frt Worth Area

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IT Audit - Risk & Control Advisor

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Department Function:
Internal Audit’s mission is to provide independent, objective assurance and advisory services to assist the enterprise in maintaining an effective system of internal controls.
Internal Audit supports the Boards of Directors in their oversight of the governance, risk and control framework, and will achieve and maintain the highest level of professional standards, while furthering the development of our employees.

Principal Responsibilities:
Strategic Control Impact
• Identify meaningful issues from audit fieldwork
• Work closely with auditees to achieve timely progress on agreed action plans
• Build advisory relationships with middle managers outside the context of IAD’s routine audits

Audit Execution
• Consistently demonstrate an ability to complete risk-focused fieldwork on time and on budget, notifying the audit manager promptly of any possible impediments to success or when budgets might be exceeded
• Fully resolve review notes and apply learning from those review notes to future projects
• Lead projects from time to time as experience grows

Quality Process
• Demonstrate a strong knowledge of IAD’s policies and procedures—particularly work paper documentation standards
• Participate in continuous improvement initiatives

Individual & Team Development
• Demonstrate a strong commitment to teamwork, helping peers wherever possible
• Identify and seize opportunities to grow skills, talents, and knowledge about audit planning, reporting, and the products and functions he or she audits

Previous internal or external audit experience is helpful, but not required. Previous job experience for RCAs can and should vary greatly to meet the department’s goal of having a team with diverse perspectives and work experiences.
The incumbent for this particular RCA position would benefit from having a background in information technology; infrastructure hardware/software, information security, and application development.  In addition, experience with Business Continuity and Disaster Recovery planning and test is a plus.

Knowledge and Skills Required:
DTCC’s Leadership Model sets out the core behaviors required of all employees. Each RCA position is unique and may require the incumbent to have or build specific knowledge of the businesses, products, functions, and processes within his or her coverage responsibilities.
More broadly, successful auditors typically demonstrate the following skills and behaviors:
• Good written and oral communication skills
• Strong analytical and problem solving skills
• Self-starter, with the ability to work independently and in teams
• Strong familiarity with IT environments and related process methodologies.

Education, Training and Certification:
A bachelor’s degree is preferred.
Beneficial, but not required, are certifications related to the incumbent’s coverage responsibilities, such as Certified Fraud Examiner, Certified Internal Auditor, Certified Information Systems Auditor, Certified Information Systems Security Professional.

Job Summary

The Risk & Control Advisor (RCA) is predominantly focused on technology audit projects, participating in planning, driving fieldwork, and assisting with report clearance.  The RCA’s primary measure of success is identifying meaningful potential issues about the design and effectiveness of controls, and creating reliable documentation to support his or her work. The RCA must manage a number of auditee relationships, be a good team player, and take accountability for his or her personal growth and professional development.

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Content Type: Item
Created at 5/8/2013 3:10 PM by  
Last modified at 5/17/2013 1:12 AM by Thom King

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