Sr. Analyst, TD Ameritrade Corporate Audit
Contact –Brian.Duering@tdameritrade.com
Role:
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Assists with the evaluation and/or implementation and maintenance of audit solutions and tools
to support the efficient and effective deployment of the Corporate Audit department Audit Plan
Leads projects in support of best-in-class department reporting.
Obtain a thorough understanding of key processes, significant risks and control environment of
assigned audits
Work closely with Audit teams to understand usage of departmental technology and
continuously evaluate for efficiencies. Identify and implement workable solutions to maximize
departmental usage.
Responsibilities:
 Assist with the execution of the Quality Assurance Program
 Create and maintain user-friendly and logical tools to be used by the Corporate Audit staff to
increase consistency of application of foundational audit policies and procedures
 Creates and maintains an efficient, real-time audit schedule to provide clear picture of resource
usage and audit timelines
 Create and maintain automated and/or web-based solutions to provide real-time reporting of
departmental metrics and related information
 Responsible for Corporate Audit campus recruiting events and activities
 Provide timely support of audit activities like report issuance, engagement survey facilitation,
time reporting, department metric trending, etc.
 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
 Prepares audit reports expressing opinions on the adequacy and effectiveness of internal
control systems, accuracy of accounting records, and efficiency of operational activities
 Facilitate system maintenance by acting as a liaison between the department and technology
resources to administer Audit Department software applications and tools
 Assists in evaluation and implementation of new audit software tools, as necessary
Requirements:
 Knowledgeable in the International Standards for the Professional Practice of Internal Auditing
and can apply major control frameworks (COSO, Cobit, and related)
 Anticipate work, plan, organize, and carry out responsibilities with professionalism and
confidentiality
 Must possess strong analytical, organizational, and problem-solving and decision-making skills,
be self-disciplined and motivated
 Must be able to prioritize and be detail oriented and complete work in a timely, accurate and
complete manner
 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
 Ability to build tools that facilitate efficient execution of audit activities based on requirements
expressed by users of the tool
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CPA, CIA or CISA
Series 7 & 63 preferred
4 year College Degree
3+ related and total experience
Military education or experience may be considered in lieu of civilian requirements listed