Responsible for the timely execution of risk-based internal audits in accordance with the annual audit plan and audit schedule. Conduct and/or lead audits in accordance with the International Professional Practices Framework issued by the Institute of Internal Auditors in order to provide reasonable assurance to key stakeholders that the organization's systems of internal control will ensure safeguarding of assets and ensure compliance with established policies, procedures, laws, and regulations in an effective and efficient manner (i.e., an independent evaluation of management's assessment and conclusion on the adequate design and effective operations of the systems of internal control).

RESPONSIBILITIES:

• E valuate key risks of the assigned department or functional area and analyze design and operating effectiveness of systems of internal control
• Understand scope of the audit in conjunction with the Senior Auditor, Audit Manager and/or Audit Director
• 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
• Accurately document the results of process walkthroughs in audit working papers and prepare work papers that clearly 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
• Assist Senior Auditor in developing a work program based on a risk analysis that incorporates audit risk assessment results, including the key business objectives and risks.
• 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.
• Act as Lead or In-Charge Auditor on assigned engagements, leading assigned projects in the audit plan based on an assessment of company goals and objectives and the significant risks that threaten the achievement of those objectives
• Develops a work program based on a risk analysis that incorporates audit risk assessment results, including the key business objectives and risks.
• Counsels and guides assigned auditors/analysts to ensure approved project objectives are met.
• Communicates expectations of each auditor assigned to his/her audit engagement and provides immediate and direct feedback on performance in relation to those expectations.
• Provides positive and constructive feedback to each assigned staff throughout the audit through verbal and written feedback (coaching notes); performs first-level review of work completed by staff auditors on the assignment.
• Completes and communicates a performance engagement evaluation with each assigned staff at the conclusion of every audit.
• Provides coaching/mentoring to strengthen staff auditor competencies
• Organize and prioritize more than one assignment to meet established deadlines and communicate status to management.
• Performs special projects as requested.
• Communicate results of audit activities performed.
• Establish and maintain good client relations during audit engagement
• Conduct effective interviews with process management and operational staff in obtaining an understanding of control environment.
• Present audit issues to business leaders and functional management, communicating the issue elements with clarity and accuracy.
• 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.
• 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.
• Assist Senior Auditor in preparation, or when acting as lead auditor - is responsible for preparation, of draft audit reports expressing opinions on the adequacy and effectiveness of internal control systems, accuracy of accounting records, and efficiency of operational activities.
• Work with management to follow up on all audit issues, ensuring complete and timely disposition.

REQUIREMENTS:

• 4 year college degree; Computer Science, Information Systems preferred
• 2+ years of related experience
• CIA, CPA or CISA preferred
• Series 7 and S63/S66 preferred
• Ability to consolidate information from variety of sources, interpret and present information clearly and concisely.
• Alignment with TD Ameritrade's core values.
• Anticipate work, plan, organize, and carry out responsibilities with professionalism and confidentiality.
• 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.
• 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.
• Competent knowledge of operations, procedures and policies of assigned business units.
• Familiarity with securities industry preferred.
• Knowledgeable in the International Standards for the Professional Practice of Internal Auditing and can apply major control frameworks (COSO, Cobit, and related).
• Must be able to communicate effectively (orally and written) with professionalism and possess solid presentation skills.
• Must be able to prioritize tasks according to importance and be detail oriented and complete work in a timely, accurate and complete manner.
• Outstanding negotiation and persuasion skills.
• Possesses solid understanding of IT General Computing Controls.
• Strong work ethic, initiative, teamwork, and flexibility to assist department in meeting organizational goals.
• Takes initiative and demonstrates creativity, self-motivation, enthusiasm, and intellectual curiosity and is able to lead by example.

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.