Senior Staff IT Auditor

TD AMERITRADE   •  

Omaha, NE

Industry: Accounting, Finance & Insurance

  •  

Less than 5 years

Posted 115 days ago

This job is no longer available.

Role:

Responsible for the timely execution of risk-based internal audits in accordance with the annual audit plan and auditschedule. Lead technology audits 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).

Responsibilities:

  • Supervise and perform assigned audits of information technology functions or processes, and operational activities to determine the effectiveness and efficiency of the systems of internal control and adequacy of operating activities
  • Obtain a thorough understanding of key processes, significant risks and control environment of assigned audits
  • Apply IT general controls concepts and auditing theories, procedures and techniques to various applications, platforms, databases or operating system environments
  • Develop a work program based on a risk analysis that incorporates auditrisk assessment results, including the key business objectives and risks
  • Obtains, analyzes, and appraises evidentiary data as a basis for an informed objective opinion on the adequacy and effectiveness of systems of internal control
  • Analyzes complex situations which may require interpreting unusual and conflicting information
  • Document issues identified during the course of audit activities, accurately identifying the condition, criteria, cause and effect; perform root cause analysis and identify practical solutions
  • Prepares or performs first level review of work papers to ensure auditreport (including scope of review and issues) is supported by the work performed
  • Prepares auditreports expressing opinions on the adequacy and effectiveness of internal control systems, accuracy of accounting records, and efficiency of operational activities
  • Organize and prioritize multiple assignments to meet established deadlines and communicate status to management
  • Performs special projects as requested
  • Establish and maintain good client relations, and demonstrate solid understanding of the client’s business
  • Conduct effective interviews with process management and operational staff in obtaining an understanding of control environment
  • Present audit issues to business leaders and functional management, clearly communicating the issue elements with accuracy
  • Works with registered public accountant to integrate audit work, at the direction of manager over engagement, to ensure objectives of internal and external audit are met, to the extent possible
  • Work with management to follow up on all audit issues, ensuring complete and timely disposition
  • Counsels and guides assigned auditors/analysts to ensure approved project objectives are met
  • Communicates expectations of each auditor assigned to his/her audit engagement and provides immediate and direct feedback on performance in relation to those expectations
  • Provides positive and constructive feedback to each assigned staff throughout the audit through verbal and written feedback (coaching notes)
  • Completes and communicates a performance engagement evaluation with each assigned staff at the conclusion of every audit
  • Provides coaching/mentoring to strengthen staff auditor competencies

Requirements:

  • Must be able to communicate effectively (orally and written) with professionalism and possess solid presentation skills.
  • Strong work ethic, initiative, teamwork and flexibility to assist department in meeting organizational goals.
  • Competent knowledge of operations, procedures and policies of assigned business units.
  • Familiarity with securities industry preferred.
  • Ability to deliver meaningful results in a high-paced environment.
  • Knowledge of the International Standards for the Professional Practice of Internal Auditing and can apply major control frameworks (COSO, Cobit, and related).
  • Works independently under general supervision with considerable latitude for initiative and independent judgment.
  • 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.
  • Ability to consolidate information from variety of sources, interpret and present information clearly and concisely.
  • 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.
  • Takes initiative and demonstrates creativity, self-motivation, enthusiasm, and intellectual curiosity and is able to lead by example.
  • Possesses solid understanding of IT General Computing Controls.
  • Audit or Information Security experience with security and configuration of Linux operating systems and Oracle databases, preferred.
  • Understands the strategic direction of Corporate Audit and tactically executes its mission.
  • 4 year college degreerequired
  • 4 year college degree in MIS, Computer Science or related area, is preferred
  • 3+ years of related experience
  • Military education or experience may be considered in lieu of civilian requirements listed

ID# 2018-14506