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Auditor II, Staff

Quick Facts

Omaha, Nebraska ID# 2018-14005 Regular Full-Time First Level Professional

Role:

  • 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

Responsibilities:

  • 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

Requirements:

  • 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

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About TD Ameritrade.

A leader in brokerage and investment services for over 35 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and bolstering our capabilities, from a leading active trader program to intuitive long-term investment solutions and a national branch system. Combined with some of the industry's brightest minds, there's no limit to how big our accomplishments can be.

From first-time investors to sophisticated traders, TD Ameritrade is focused on helping individuals seek out their financial goals. And you're the ambassador to all that we do. Beginning with our trading platform and proprietary technology to our resolve to outperform, you'll maintain the high level of quality and integrity we're known for, each and every day. With the right opportunity, there's no limit to what you can accomplish.

As a leading employer in financial services, we believe in building strong relationships, achieving quality results and working with integrity. It's at the heart of everything we do. That's why we provide you with comprehensive training, benefits and programs that inspire you to achieve more every day. Apply to a TD Ameritrade job today and help our clients pursue their dreams, while you fulfill yours.

Applicants must be eligible to work in the U.S. Immigration sponsorship is typically not available for this position.

TD Ameritrade participates in the E-Verify program. For additional information on this program please click here. TD Ameritrade is an Equal Opportunity Employer. We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ:AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank.

© 2014 TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.

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