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Auditor, Senior Staff IT at TD Ameritrade in Jersey City, NJ

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Description

Role:

  • Responsible for the timely execution of risk-based internal audits in accordance with the annual audit plan and audit schedule
  • Lead technology audits in accordance with the International Professional Practices Framework issued by the Institute of Internal Auditors in order to provide 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

Responsibilities:

  • Lead assigned projects in the annual audit plan
  • Supervise and perform assigned audits of information technology functions or processes, and operational activities
  • 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 audit risk assessment results
  • Obtain, analyze, and appraise evidentiary data as a basis for an informed objective opinion on the adequacy and effectiveness of systems of internal control
  • 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 audit reports expressing opinions on the adequacy and effectiveness of internal control systems, accuracy of accounting records, and efficiency of operational activities
  • Establish and maintain good client relations, and demonstrate solid understanding of the client's business
  • Present audit issues to business leaders and functional management
  • Work 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
  • Provides positive and constructive feedback to each assigned staff throughout the audit through verbal and written feedback (coaching notes)

Requirements:

  • Must be able to communicate effectively (orally and written) with professionalism and possess solid presentation skills with a collaborative working style and the willingness to listen to all viewpoints
  • Competent knowledge of operations, procedures and policies of assigned business units
  • Knowledge of the International Standards for the Professional Practice of Internal Auditing and can apply major control frameworks (COSO, Cobit, and related)
  • Ability to consolidate information from variety of sources, interpret and present information clearly and concisely
  • 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
  • Preferred - CIA, CPA or CISA
  • Preferred - Series 7 & 63/66
  • 4 Year College Degree (Major in MIS, Computer Science or related, preferred)
  • 3 + years related work experience
  • Military education or experience may be considered in lieu of civilian requirements listed
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