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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
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
TD Ameritrade is an equal opportunity employer. At TD Ameritrade we believe that people matter. We value diversity and believe that it transcends race, national origin, age, marital status, gender identity / expression, sexual orientation, citizenship status, service in the armed forces, disability, thoughts, ideas and perspectives. Our commitment to building an inclusive culture is aimed at attracting and retaining diverse talent, clients and shareholders to the firm. It's a belief that's core to the success of our organization.
