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Operations Control Remediation & Testing Manager

Quick Facts

Southlake, Texas, Fort Worth, Texas ID# 2018-14025 Regular Full-Time Manager

Role:

Manage internal and external audit relationships and engagements by serving as liaison between business units and audit teams, while also driving departmental strategy to achieve minimum impact to business units, and providing a consistent approach to the audit process and reporting/escalating appropriately to Ops. Control management.  Assist Sr. Manager with driving strategy and execution for centralization of ICAP control testing across Ops. Control.

Responsibilities:

  • Manage audit engagement calendar to optimize process and minimize impact to business unit in consideration of other goals, objectives and engagements. Escalate scheduling conflicts and/or difficulties to management and propose solutions.
  • Execute on strategic initiative to become departmental single POC (liaison) for business units for audit requests for information and walkthroughs.
  • Maintain awareness of previously submitted controls documentation, data and audit results to provide to audit teams. Through relationship management, encourage auditors to leverage other audit teams work where/when possible.
  • Engage between audit and business units at appropriate times such as audit kick-off meetings, draft audit report review and dissemination and working with the business unit to draft appropriate audit responses and challenge business units thoughtfulness regarding agreed-to remediation plans.
  • Stay current on audit trends and areas of focus from both audit and broker-dealer environments.
  • Obtain and maintain working knowledge of SOC1 and FICCA audit requirements and reporting. Engage with external audit teams to successfully audit and generate these reports.
  • Maintain SOC1 and FICCA current reports for distribution to requesting parties. Act as gatekeeper for issuing these reports. Ensure non-disclosure agreements are obtained before issuing reports. Maintain sufficient knowledge of SOC1 and FICCA reports to assist requesting parties in determining when we can accommodate their request vs. not issuing. Generate bridge letters to evidence control environment for period between end of testing cycles and calendar year-end.
  • Assist in tracking of deficiencies and their remediation; report findings to key stakeholders as directed; and prepare reports/presentations as necessary.
  • Build and lead a small team to perform ICAP testing for Custody owned ICAP controls
  • Provide business unit management with confidence in testing results.
  • Provide Ops.Control management with level of confidence in results through independent testing. Escalate findings when necessary.
  • Develop and produce recurring reporting regarding ICAP Controls for Ops. Control and business unit management.
  • Observe opportunities for control design improvement. Advise business units in control design methodology.
  • Provide consistent approach to controls across Operations Control.
  • Facilitate business unit feedback to ICAP team when controls need to be added, deleted or edited. Track completion of changes to controls.
  • Lead risk and control discussions with management
  • Partner with key business leaders to develop viable recommendations to establish and enhance internal control environment.
  • Develop relationships with key business leaders, demonstrating a solid understanding of the industry and related business requirements.
  • Prepares and delivers performance evaluations of staff.
  • Counsels and guides associates to ensure approved audit objectives are met.
  • Provides mentoring in regards to associate development plans and advancement/skill-enhancement opportunities.
  • Sets clear, well defined, desired outcomes for work activities and tracks progress, in the process motivating others using a variety of approaches, all in support of TD Ameritrade and Operations Control visions.
  • Screens candidates for employment based on department/channel needs.
  • Provides solid leadership that exemplifies the company core values and leadership expectations.

Requirements:

  • BA/BS Degree; Business or Finance preferred
  • 6+ years related experience
  • 8+ years total experience
  • Must be able to communicate effectively (orally and written) with professionalism and possess strong presentation skills among all levels of management. Is articulate and composed when delivering difficult messages to clients.
  • Demonstrates current knowledge of relevant industry, risk, operational and/or technology/infrastructure.
  • Strong work ethic, initiative, teamwork, and flexibility to assist department in meeting organizational goals.
  • Ability to critically assess, drive action, and deliver meaningful results in a high-paced environment.
  • Demonstrates ability to manage people in a way that develops associates and delivers results with integrity, innovation, and excellence.
  • Understands the strategic direction of Operations Control & Audit and tactically executes its mission, and manages its resources accordingly.
  • Proven ability to lead projects and initiatives that drive performance.
  • 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.
  • Must be able to prioritize tasks according to importance and be detail oriented and complete work in a timely, accurate and complete manner.
  • Collaborative working style with the willingness to listen to all viewpoints.
  • 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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