Brokerage Internal Auditor

Scottrade, Inc., a financial services firm, partners with more than three million retail clients to provide the trading services and investment solutions they need to overcome barriers to financial success. Founded in 1980, Scottrade pairs its large nationwide branch network with advanced online products and services to help clients gain insight into the market and react quickly to trading opportunities.

The main purpose of this position is to plan and execute various financial, compliance and operational audits for Scottrade Financial Services, Inc. to ensure adherence to applicable laws and regulations, as well as mitigate financial, operational, reputational and other identified risks.

* Assist/lead, plan and perform audits and projects, including performing risk assessments, documenting processes and key controls, creating audit procedures to test the design and operating effectiveness of the key controls and reporting issues identified. * Communicate the audit scope, protocol, status, issues, risks and recommendations via written reports and oral presentations to appropriate audience. * Assist with the design and documentation of effective audit procedures. * Assess and identify risks by applying business/technical/industry knowledge, and escalate to appropriate management, as necessary. * Develop and manage productive and collaborative relationships with designated audit customers and other key stakeholders. * Support and assist with creating and successfully delivering the Scottrade Annual Audit Plan and with the overall strengthing of the “Risk and Control” environment. * Assist with audit engagement variance analysis and budget tracking. * Assist with KPI tracking, compiling and reporting. * Assist with mentoring and training team members. * Perform special projects, investigations, and other duties as assigned.

**Knowledge, Skills And Abilities Required:** * Strong understanding of the Institute of Internal Audit Standards for the Professional Practice of Auditing, control frameworks such as COSO/COBIT, transactional accounting, and Generally Accepted Accounting Principles (GAAP). * Strong understanding of control principles as it relates to regulatory issues and requirements (Banking, Broker Dealer, Sarbanes-Oxley). * Experience and understanding of risk management principles as they relate to audit practices and an understanding of the principles of regulatory guidance relative to “Strong Risk Management and Controls” expectations within the Banking/Financial services sector. * Ability to provide creative thought and understanding for both strategic and tactical assignments. * Self-starter with strong decision making abilities and the ability to mentor and train team members. * Proven track record of achieving results through collaboration and teamwork. * Ability to effectively communicate with all levels of the organization, clearly expressing ideas and concepts both verbally and in writing to effectively handle sensitive issues. * Strong interpersonal and self-management skills with the ability to multi-task. * Self-motivated with the ability to work independently as well as in a team setting. * Strong attention to detail and excellent organizational skills. * Intermediate level proficiency with Microsoft Word, Excel, PowerPoint and Outlook. * Foster company success through a professional appearance, being courteous to customers and all Scottrade associates and by having a positive attitude. **Minimum Education & Experience:** * Bachelor’s degree in Accounting, Finance, Economics, or Business Administration, or equivalent combination of education and experience required. Master’s degree preferred. * 4+ years of internal or external auditing, accounting, risk management, financial analysis, information systems or compliance/regulatory experience required. * 2+ years of experience leading audits and performing in the role of auditor-in-charge preferred. * 2+ years of experience working in brokerage, banking and/or financial services industry preferred. * Experience in performing audits of technical nature and/or experience, either in audit, risk management, or line of business function, at a medium sized or large bank or financial services organization preferred. * Experience with use of ACL (Audit Command Language), PeopleSoft and/or Thomson Reuters GRC preferred. * CIA (Certified Internal Auditor), CPA (Certified Public Accountant), CRCM (Certified Regulatory Compliance Manager) or CISA (Certified Information Systems Auditor) preferred.