Senior Manager, Audit IT

8 - 10 years experience  • 

Salary depends on experience
Posted on 03/27/18
Jersey City, NJ
8 - 10 years experience
Salary depends on experience
Posted on 03/27/18

Role:

Responsible to supervise and review the timely execution of assigned areas of the TDA Audit Plan in accordance with the International Professional Practices Framework issued by the Institute of Internal Auditors in order to provide reasonable assurance to key stakeholders that the organization’s systems of internal control will ensure safeguarding of assets and ensure compliance with established policies, procedures, laws, and regulations in an effective and efficient manner (i.e., an independent evaluation of management’s assessment and conclusion on the adequate design and effective operations of the systems of internal control). Assists in the development of the risk-based annual audit plan based on a thorough understanding of risks and controls in assigned business processes. Coordinates information technology involvement and assists in the execution of Compliance and Financial/Operational audits as required.

Responsibilities:

  • Assist in the development of and execute on the annual audit plan based on an assessment of company goals and objectives and the significant risks that threaten the achievement of those objectives.
  • Supervise and/or perform the audit of complex projects, functions, and operational activities in assigned areas to determine the effectiveness and efficiency of the systems of internal control and adequacy of operating activities.
  • Manage the audit plan and related schedule, timetable and budget to ensure that all audits for assigned area are completed in a timely manner.
  • Communicate and apply IT general controls concepts and auditing theories, procedures and techniques to various applications, platforms, databases or operating system environments.
  • Assists in developing a strategy for the efficient and effective completion of projects via a well-defined scope, drives fieldwork approach and preliminary work program.
  • Manage audit projects to ensure that professional standards are maintained in the planning, execution, and reporting of audit projects; supervises the progress and quality of work.
  • Review and approve the purpose, scope, and approach of audit projects for assigned areas.
  • Present audit issues to business leaders and functional management, while consulting with them on possible solutions for the issues identified.
  • Perform manager-level review of workpapers to ensure auditreport is supported by the work performed.
  • Build strong relationships with Management and other key leaders. Serve as a trusted advisor.
  • Works with registered public accountant to ensure audit execution is coordinated to the extent possible.
  • Engages in consulting projects and provides advisory services to management on process redesign, major system initiatives, control framework, etc.
  • Lead risk and control discussions with management
  • Partners with key business leaders to develop viable recommendations to establish and enhance internal control environment.
  • Develop and nurture relationships with key leaders in the technology organization, demonstrating a solid understanding of the industry and related technology.
  • Provide performance feedback and coaching to direct reports and other. Uphold high standards for performance ratings and alignment with compensation.
  • Prepares and delivers performance evaluations of staff and senior auditors.
  • 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 Corporate Audit's visions.
  • Screens candidates for employment based on department/channel needs.
  • Provides solid leadership that exemplifies the company core values and leadership expectations.
  • Ensure audit techniques and approaches used by the audit team(s) are consistent with approved practices and evaluate those practices to ensure audit plan is executed in an effective and efficient manner, while providing sufficient risk-based coverage of key business processes.
  • Performs and/or supervises special projects as requested, including research on audit techniques.
  • Ensure integration of operational and technology capabilities on necessary audit engagements.
  • Identify opportunities to partner with data analytics team and utilize analytics to improve risk assessment, scoping, test work and/or issue tracking and resolution.
  • Perform research and attend training to maintain and enhance knowledge necessary to provide quality audit coverage of assigned areas.

Requirements:

  • 4 year college degree in Computer Science, Information Technology or related major is preferred
  • 8+ years related experiencepreferred; 10+ years total experiencepreferred
  • CPA, CIA or CISA required
  • Series 7, 63 and 24 or 27 preferred
  • Working 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, technologyrisk assessments and financial/compliance/business processes.
  • Familiarity with technology development and infrastructure processes, derivatives (options, futures, FX), and trading environments.
  • Knowledgeable in the International Standards for the Professional Practice of Internal Auditing and can apply major control frameworks (COSO, Cobit, and related).
  • Must be able to communicate effectively (orally and written) with professionalism and possess strong presentation skills among all levels of management. Can 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.
  • Demonstrates an in-depth and current knowledge of relevant industry, accounting, operational and/or technology/infrastructure.
  • Strong work ethic, initiative, teamwork, and flexibility to assist department in meeting organizational goals.
  • Proven ability to critically assess, drive action, and deliver meaningful results in a high-paced environment.
  • Demonstrates ability to manage people in a way that inspires, develops, and delivers results; demonstrated track record of integrity, innovation, and excellence.
  • Capability to think both strategically and tactically about the IA organization, its mission, and resources.
  • 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.

ID# 2018-14921

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