Rishi Malik
About Rishi Malik
Rishi Malik serves as the IT Audit Director at FINRA, a position he has held since 2019. He has a background in accounting and information systems from the University of Maryland and has previously worked in various roles at PwC and FINRA.
Current Role as IT Audit Director
Rishi Malik serves as the IT Audit Director at FINRA, a position he has held since 2019. In this role, he is responsible for overseeing the organization's IT audit processes and ensuring compliance with regulatory standards. His work involves assessing IT risks and implementing audit strategies to enhance operational efficiency. He continues to work in Rockville, Maryland, contributing to the organization's mission of protecting investors and maintaining market integrity.
Previous Experience at FINRA
Before his current role, Rishi Malik worked at FINRA in various capacities. He served as the Associate IS Audit Director from 2016 to 2019, where he focused on information systems audits and risk assessments. Prior to that, he was an IS Project Leader from 2013 to 2016, managing projects related to information systems and contributing to the organization's IT governance framework. His tenure at FINRA has spanned a total of six years.
Professional Background at PwC
Rishi Malik began his career at PwC, where he worked as a Senior Associate in Risk Assurance from 2008 to 2013. In this role, he was involved in assessing client risks and providing assurance services to enhance their operational controls. His experience at PwC laid the foundation for his expertise in risk management and audit practices, which he has applied in subsequent roles.
Education and Academic Background
Rishi Malik earned his Bachelor of Arts degree in Accounting and Information Systems from the University of Maryland, where he studied from 2004 to 2008. His educational background provided him with a strong foundation in both accounting principles and information technology, equipping him with the skills necessary for his career in IT audit and risk assurance.