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
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.
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.