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Staff IT Auditor

Quick Facts

Southlake, Texas ID# 2018-20812 Regular Full-Time First Level Professional

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 and application 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 workflows and 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:

  • 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 application controls and 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

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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.

© 2018 TD Ameritrade IP Company, Inc.

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By virtue of what we do, our world is filled with numbers. Here are just a few that we believe best describe TD Ameritrade at its finest.

  • 10,000 Full-time
    Employees

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    in 49 States

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  • 18,380 Hours Volunteered to
    Community Programs in 2017

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