Sorry, this listing is no longer accepting applications. Don't worry, we have more awesome jobs for you.

Staff IT Auditor

TD Ameritrade

TD Ameritrade

Staff IT Auditor

National
Full Time
Paid
  • Responsibilities

    ROLE:

    • Execution of risk-based internal audits in accordance with the annual audit plan and audit schedule.
    • Provide reasonable assurance to key stakeholders of internal controls and the safeguarding of assets
    • Ensure compliance with established policies, procedures, laws, and Responsibilities

    RESPONSIBILITIES:

    • Evaluate key risks of the assigned department or functional area
    • 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
    • Apply IT general controls concepts and auditing theories, procedures and techniques
    • Analyze design and operating effectiveness of systems of internal control
    • Perform process walkthrough of assigned functional area through discussions with key operating personnel using effective interviewing techniques
    • Accurately document the results of process walkthroughs and prepare work papers articulating the risk and control points 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 to determine the controls key to mitigating significant risks
    • Assist in designing control tests to determine the operating effectiveness of identified controls
    • Execute on control tests
    • Communicate results of audit activities performed
    • Accurately conclude on design and operating effectiveness of the function's systems of internal control
    • Document issues identified during the course of audit activities
    • 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

    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
  • 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.