TD Ameritrade IP Company, Inc
\t?Responsible for the timely execution of risk-based internal audits in accordance with the International Professional Practices Framework\tCommunicate results of audit activities performed\tEnsures compliance with established policies, procedures, laws, and regulations in an effective and efficient manner\tEvaluates key risks of the assigned department or functional area\tAnalyze design and operating effectiveness of systems of internal control
\t?Review risk assessment results of assigned department or functional area in established/required timeline with the Senior Auditor, Audit Manager and/or Audit Director\tEvaluate processes throughout audit to ensure scope is appropriate and risk environment identified is accurate; communicate potential variances to plan to engagement leadership\tObtain and review company policies and procedures, information from regulatory authorities, communications with management, and any other relevant information as a basis for functional evaluation\tPerform process walkthrough of assigned functional area through discussions with key operating personnel using effective interviewing techniques\tAssess process for potential gaps in control design and/or for risks not identified through initial risk assessment evaluation (planning)\tExecute on control tests by reviewing transactions, records, reports and methods for accuracy and effectiveness of identified controls\tDocument issues identified during the course of audit activities, accurately identifying the condition, criteria, cause and effect\tperform root cause analysis and assist in identifying practical solutions\tAssists in preparing reports expressing opinions on the adequacy and effectiveness of systems of internal control\tConduct effective interviews with process management and operational staff in obtaining an understanding of control environment
\t?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\tMust be able to communicate effectively (orally and written) with professionalism and possess solid presentation skills\tTravel can be up to 20%\tPreferred-CIA, CPA or CISA\tPreferred-Series 7 & 63/66\t4 year college degree majoring in Accounting/Finance preferred\t2 years related/total experience\tMilitary education or experience may be considered in lieu of civilian requirements listed
TD Ameritrade IP Company, Inc
Website : https://www.tdameritrade.com
When the Securities and Exchange Commission eliminated the practice of fixed brokerage commissions on May 1, 1975, none of the major brokerage firms at the time thought anyone would ‘break ranks’ and offer discounted commissions. But, a handful of small firms, including First Omaha Securities, Inc., saw a unique opportunity. First Omaha Securities evolved into TD Ameritrade, and for over 35 years has remained a pioneer in an industry that continues to innovate new ways that make Wall Street more accessible to the individual investor. In the 1980s and 1990s, TD Ameritrade pioneered a number of ‘firsts,’ leveraging technology to make investing easier, faster, and more efficient. In 1988, the company was the first to offer touch-tone phone trading. And, in 1995 it acquired K. Aufhauser & Co., which was credited with executing the first online trade in 1994. Following its Initial Public Offering (IPO) in March 1997, the company combined its various brokerage units into one broker dealer, Ameritrade, Inc., and launched its first national advertising campaign, complete with a pricing philosophy that continues today.