Senior Auditor

Who We Are More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.

About the Role SUMMARY

Responsible for leading, supervising, and executing audits. This position oversees and participates in the evaluation of the adequacy, effectiveness, and efficiency of controls and identifies weaknesses, along with providing recommendations to mitigate those weaknesses. This position proactively works with management to ensure compliance with policies, laws, and regulations.

RESPONSIBILITIES

• Manage/Execution of Audit Process
• With minimal supervision, perform risk evaluation of audit area to identify key controls for review.
• With minimal supervision, draft the audit program and execute the audit steps.
• Draft questionnaires, spreadsheets, etc. to assist in analyzing business processes.
• Draft audit reports to summarize audit findings.
• Prepare work papers, schedules, and summaries documenting audit evidence, conclusions, and findings reached.
• Leadership
• Provide audit project supervision role for staff auditors
• Escalate risk issues and follow-up on solutions
• Identify potential department improvement projects
• Take responsibility for staff auditors and own work product
• Identify and shares relevant business and audit topics with the audit group
• Building Relationships
• Partner with audit clients to identify constructive and value-added solutions to address risks identified.
• Partner with audit clients to assist in research and other information dissemination processes.
• Identify opportunities for and participate in approved special projects, investigations, or other significant business issues.

Qualifications Basic

• Bachelor's degree in Accounting, Finance, Economics, or related field is required
• 3-7 years of financial services-related audit experience with increasing responsiblity
• Broker Dealer/Asset Management experience; specific to internal audit or similar Big 4 accounting or regulatory experience a plus
• Sound knowledge of internal audit methodology, including the COSO Internal Control framework and IIA Standards
• Holding or in process of achieving a CPA, CIA, CFSA, CFA or other applicable financial services and/or risk management certifications a plus
• Ability to work as a member of a project team and cultivate a strong working relationship with external co-sourcing providers and internal lines of businesses

Preferred Skills

• Prior bank Financial Services experience STRONGLY preferred
• Heavy analytical experience
• Detail oriented and have keen interest in process improvement area
• Effective project management skills
• Intermediate/advanced Excel skills
• Willingness to travel

We offer a competitive and comprehensive benefits package. Please visit https://www.etradecareers.com/why-work-at-etrade/employee-benefits/ to learn more about the opportunities.

E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.