TD Ameritrade IP Company, Inc
\t\t\tResponsible for the timely execution of risk-based internal audits in accordance with the annual audit plan and audit schedule.\t\t\tLead audits in accordance with the International Professional Practices Framework\t\t\tProvide assurance to key stakeholders that the organization\u2019s systems of internal control will ensure safeguarding of assets\t\t\tEnsure compliance with established policies, procedures, laws, and regulations
\t\t\tLead assigned projects in the annual audit plan based on an assessment of company goals and objectives and the significant risks that threaten the achievement of those objectives\t\t\tSupervise and perform assigned audits of functions or processes, and operational activities to determine the effectiveness and efficiency of the systems of internal control and adequacy of operating activities\t\t\tObtains, analyzes, and appraises evidentiary data\t\t\tAnalyzes complex situations which may require interpreting unusual and conflicting information.\t\t\tPrepares audit reports expressing opinions on the adequacy and effectiveness of internal control systems, accuracy of accounting records, and efficiency of operational activities\t\t\tOrganize and prioritize multiple assignments to meet established deadlines and communicate status to management.\t\t\tPresent audit issues to business leaders and functional management, clearly communicating the issue elements with accuracy.\t\t\tWorks 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.\t\t\tCommunicates expectations of each auditor assigned to his/her audit engagement and provides immediate and direct feedback on performance in relation to those expectations.\t\t\tProvides coaching and mentoring through performance reviews to strengthen staff auditor competencies
\t\t\t4 Year College Degree required\t\t\tMajor in Accounting / Finance or related preferred\t\t\t3 years related work experience\t\t\tMilitary education or experience may be considered in lieu of civilian requirements listed\t\t\tMust be able to communicate effectively (orally and written) with professionalism and possess solid presentation skills.\t\t\tCompetent knowledge of operations, procedures and policies of assigned business units.\t\t\tFamiliarity with securities industry preferred.\t\t\tKnowledge of the International Standards for the Professional Practice of Internal Auditing and can apply major control frameworks (COSO, Cobit, and related).\t\t\tAssociate must possess strong analytical, organizational, and problem-solving and decision-making skills, be self-disciplined and motivated\t\t\tAbility to consolidate information from variety of sources, interpret and present information clearly and concisely.\t\t\tPreferred \u2013 Series 7 & 63/66\t\t\tPreferred \u2013 CIA, CPA or CISA
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.