ROLE:

Conduct and/or lead audits in accordance with the International Professional Practices Framework issued by the Institute of Internal Auditors. This will provide reasonable assurance to key stakeholders that the organization's systems of internal control will ensure safeguarding of assets and compliance with established policies, procedures, laws, and regulations in an effective and efficient manner.

• Review risk assessment results of assigned department or functional area in established/required timeline with the Senior Auditor, Audit Manager and/or Audit Director
• Evaluate processes throughout audit to ensure scope is appropriate and risk environment identified is accurate; communicate potential variances to plan to engagement leadership
• Perform process walkthrough of assigned functional area through discussions with key operating personnel using effective interviewing techniques and document the results
• Assess process for potential gaps in control design and/or for risks not identified through initial risk assessment evaluation (planning)
• Execute on control tests by reviewing transactions, records, reports and methods for accuracy and effectiveness of identified controls
• Analyzes complex situations which may require interpreting unusual and conflicting information
• Apply IT general controls concepts and auditing theories, procedures and techniques to various applications, platforms, databases or operating system environments
• Works with registered public accountant to integrate audit work, at the direction of manager over engagement, to ensure objectives of internal and external audit are met, to the extent possible

REQUIREMENTS:

• 4 Year College Degree in Computer Science or Information Systems
• Military education or experience may be considered in lieu of civilian requirements listed
• Ability to consolidate information from variety of sources, interpret and present information clearly and concisely.
• Alignment with TD Ameritrade's core values.
• Can identify and use analysis techniques that quickly identify process gaps and can identify tactics that can be immediately applied to improve the business processes.
• Familiarity with securities industry preferred.
• Possesses solid understanding of IT General Computing Controls.
• Takes initiative and demonstrates creativity, self-motivation, enthusiasm, and intellectual curiosity and is able to lead by example.
• Preferred - CIA, CPA or CISA
• Preferred - Series 7 & 63/66

At TD Ameritrade we help individual investors pursue their financial goals through our brokerage subsidiaries. For more than 40 years we have been serving individual investors – from the first-time investor to the sophisticated trader, and from the “do-it-yourself” to the “do-it-for-me” investor. We offer a broad range of investment tools and services – all at a great value.

We engage with our clients in many different ways including online, on-the-go via mobile applications, over the phone or through independent registered investment advisors. Our clients choose how they want to work with TD Ameritrade – not the other way around.