IT Audit Director in Omaha, NE

$200K - $250K(Ladders Estimates)

TD AMERITRADE Holding Corporation   •  

Omaha, NE 68101

Industry: Finance & Insurance


11 - 15 years

Posted 61 days ago

This job is no longer available.


Responsible to assist in the development of the overall audit strategy to help meet organizational objectives. Performs annual and ongoing entity wide risk assessments focused on technology systems and infrastructure. Develops risk-based TDA Technology Audit Plan based on a thorough understanding of risks and controls in assigned business processes. Accountable for the execution of assigned areas (Technology) of the TDA Audit Plan to determine accuracy of financial records, effectiveness of prudent business practices, adequacy of control environment, and compliance with applicable policies, procedures, laws and regulations.


  • Formulate, update, and execute on the assigned annual audit plan areas based on an assessment of company goals and objectives and the significant risks that threaten the achievement of those objectives.
  • Creates and maintains an appropriately structured audit universe, ensuring 100% of the organization is captured and organized in a way to maximize efficiency of audit coverage.
  • Builds annual audit plan based on evaluation of objectives and risk exposure for areas under examination and assesses risk in conjunction with organizational risk appetite and tolerance levels.
  • Manages and assures completion of the annual audit plan through effective supervision and time/budget management, measures progress, and proposes revisions to reflect changing priorities.
  • Coordinates completion of audits in assigned areas with other channel Directors to ensure integration of cross-functional business and information technology processes.
  • Develops a strategy for the efficient and effective completion of projects via a well-defined scope and fieldwork approach consistent with professional standards.
  • Informs the Managing Director - Corporate Audit of audit progress, major findings, and problems encountered.
  • Finalizes audit reports and presents and/or oversees the presentation of observations, recommendations, and management action plans to senior management.
  • Provides fair and balanced insights into current, emerging and potential issues, trends, and opportunities that will enhance the efficiency and effectiveness of management and control processes.
  • Build strong relationships with key stakeholders, Senior Management, and other key leaders. Serve as a trusted advisor.
  • Regularly meets with key business leaders in the technology organization to stay informed of organizational changes; regulatory impacts; key, changing and/or emerging risks; etc.
  • Works with registered public accountant to ensure audit execution is coordinated to the extent possible.
  • Engages in management requested and/or consulting projects and provides advisory services to management on process redesign, major system initiatives, control framework, etc.
  • Partners with key business leaders to develop viable recommendations to establish and enhance internal control environment.
  • Participates in enterprise risk committee and/or subcommittee meetings, as assigned.
  • Provide periodic and/or requested reporting to key business leaders regarding audit plan, schedule, and status.
  • Anticipate and proactively address client concerns.
  • Ensure the Corporate Audit Department is staffed with highly-qualified, high-performing IT Audit leaders and staff. Provide performance feedback and coaching to direct reports and others. Uphold high standards for performance ratings and alignment with compensation. Provide opportunities for individual development and advancement.
  • Prepares and delivers performance evaluations of manager(s). Reviews performance evaluations of senior and staff auditors.
  • Provides mentoring in regards to associate development plans and advancement/skill-enhancement opportunities.
  • Performs regular analysis of department staffing and monitors succession management, as necessary.
  • Provides solid leadership that exemplifies the company core values and leadership expectations.
  • Evaluate audit techniques and approaches to ensure TDA Audit remains current with industry 'best practices' and maintains a strong commitment to continuous improvement.
  • Perform research and attend training to maintain and enhance knowledge necessary to provide quality audit coverage of assigned areas.


  • 4 year college degree; Computer Science, Information Technology of related major preferred
  • 10+ years of IT Audit or related technology experience
  • CIA, CPA or CISA required
  • Series 7, 63 and 24 or 27 preferred
  • Extensive knowledge of financial and business information systems, preferably large modern systems utilizing UNIX, Windows, enterprise DBMS, and emerging internet technologies.
  • Knowledgeable in business resumption, project management, security, computer operations, technology risk assessments and financial/compliance/business processes.
  • Familiarity with technology development and infrastructure processes, derivatives (options, futures, FX), and trading environments.
  • Extensive familiarity with broker/dealer business models; regulatory requirements; and key processes, controls and exposure areas.
  • Must be able to communicate effectively (orally and written) with professionalism and possess strong presentation skills among all levels of management. Can balance diplomacy with assertiveness and hold difficult or sensitive discussions with confidence, while gaining and/or maintaining the trust of others. Is articulate and composed when delivering difficult messages to clients.
  • Knowledgeable in the International Standards for the Professional Practice of Internal Auditing and can apply major control frameworks (COSO, Cobit, and related).
  • Demonstrates an in-depth and current knowledge of relevant industry, accounting, operational and/or technology/infrastructure.
  • Demonstrates ability to manage people in a way that inspires, develops, and delivers results; demonstrated track record of integrity, innovation, and excellence.
  • Proven ability to lead projects and initiatives that drive performance.
  • Capability to think both strategically and tactically about the IA organization, its mission, and resources.
  • Proven ability to critically assess, drive action, and deliver meaningful results in a high-paced environment.
  • High level of technical and analytical capabilities, skilled at decision-making under uncertainty, combined with a common sense approach.
  • Strong work ethic, initiative, teamwork and flexibility to assist department in meeting organizational goals.

Valid Through: 2019-9-16