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Staff II Auditor

TD Ameritrade

TD Ameritrade

Staff II Auditor

Full Time
  • Responsibilities


    • Responsible for the timely execution of risk-based internal audits in accordance with the International Professional Practices Framework
    • Communicate results of audit activities performed
    • Ensures compliance with established policies, procedures, laws, and regulations in an effective and efficient manner
    • Evaluates key risks of the assigned department or functional area
    • Analyze design and operating effectiveness of systems of internal control


    • 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
    • Obtain and review company policies and procedures, information from regulatory authorities, communications with management, and any other relevant information as a basis for functional evaluation
    • Perform process walkthrough of assigned functional area through discussions with key operating personnel using effective interviewing techniques
    • 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
    • Document issues identified during the course of audit activities, accurately identifying the condition, criteria, cause and effect
    • perform root cause analysis and assist in identifying practical solutions
    • Assists in preparing reports expressing opinions on the adequacy and effectiveness of systems of internal control
    • Conduct effective interviews with process management and operational staff in obtaining an understanding of control environment
  • Qualifications


    • Associate must possess strong analytical, organizational, and problem-solving and decision-making skills, be self-disciplined and motivated, and be able to handle pressure and stress generated by multiple tasks, deadlines, and interruptions
    • Must be able to communicate effectively (orally and written) with professionalism and possess solid presentation skills
    • Travel can be up to 20%
    • Preferred-CIA, CPA or CISA
    • Preferred-Series 7 & 63/66
    • 4 year college degree majoring in Accounting/Finance preferred
    • 2+ years related/total experience
    • Military education or experience may be considered in lieu of civilian requirements listed
  • Industry
    Financial Services
  • About Us

    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.