Responsible for the timely execution of risk-based internal audits in accordance with the annual audit plan and audit schedule. Conduct audits in accordance with the International Professional Practices Framework issued by the Institute of Internal Auditor. Provide reasonable assurance to key stakeholders that the organization's systems of internal control will ensure safeguarding of asset. Ensure compliance with established policies, procedures, laws, and regulations.

RESPONSIBILITIES:

• Review risk assessment results of assigned department or functional area in established/required timeline
• Evaluate processes throughout audit to ensure scope is appropriate and risk environment identified is accurate
• Obtain and review company policies and procedures, information from regulatory authorities, communications with management
• Perform process walkthrough of assigned functional area through discussions with key operating personnel
• Accurately document the results of process walkthroughs and prepare work papers that articulate the risk and control points of each assigned objective and that support the conclusions reached
• Assess process for potential gaps in control design and/or for risks not identified through initial risk assessment evaluation (planning)
• Work with In-Charge/Lead Auditor and client to determine the controls that are key to mitigating significant risks of the client's business operations; assist in designing control tests to determine the operating effectiveness of identified controls
• Execute on control tests by reviewing transactions, records, reports and methods for accuracy and effectiveness of identified controls
• Accurately conclude on design and operating effectiveness of the function's systems of internal control
• Document issues of audit activities; perform root cause analysis and assist in identifying practical solutions
• Assists in preparing reports on the adequacy and effectiveness of systems of internal control

REQUIREMENTS:

• 4 Year College Degree Required (Accounting/Finance Preferred)
• 1 Year Related/Total Experience
• 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.
• Anticipate work, plan, organize, and carry out responsibilities with professionalism and confidentiality.
• Can identify and use analysis techniques to identify process gaps and tactics that can be applied to improve business processes.
• Competent knowledge of operations, procedures and policies of assigned business units
• Must be able to communicate effectively and possess solid presentation skills
• Must be able to prioritize tasks and complete work in a timely, accurate and complete manner
• Outstanding negotiation and persuasion skills.
• 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.