Vice President, Assistant General Auditor – E*TRADE Financial – Washington D.C. Metro Area

Job Description

E*Trade Financial is seeking a Vice President/General Auditor to report into the SVP, General Auditor acting as the primary authority and leader for Bank Audit Plan and its heavy regulated environment..  Responsibilities will also extend into Brokerage audit.  This individual will develop relationships and deliver reports to the Audit Committee and the Board of Directors.
RESPONSIBILITIES:

·Responsibility for Bank (Balance Sheet, Credit, and Risk) and Business Oversight (Legal, Compliance, and Oversight Shared Services) Audit plans.

·Produce annual Internal Audit risk assessment for assigned areas of the audit universe.

·Provide representation on Management and Board level Committees as requested.

·Ensures Internal Audit compliance with all internal audit-related requirements from appropriate regulatory agencies of the assigned audit universe.

·Provides timely and accurate completion of assigned audit plan in a manner consistent with the Standards for the Professional Practice of Internal Auditing, along with the professional standards of conduct of the Institute of Internal Auditors.

·Assists in supervising ongoing audits, identifying critical control issues, and recommending corrective actions.

·Oversees and assists in planning the scope of each audit project as well as the nature, timing and extent of audit work that will be performed.

·Supervises the work of the Staff Auditors (or other staff as assigned) as it relates to the assigned audit in accordance with professional standards.

·Supervises and coaches audit staff, ensuring assignments are adequately planned in advance and performed in accordance with Internal Audits standards.

·Provides critical review and edits to the staffs draft audit reports (and other correspondences) to ensure clarity, conciseness, and comprehensibility.

·Coordinate pre-issuance audit report quality assurance of all audit reports to make sure department expectations are continuously met.

·Identifies root causes of operational and accounting-related problems and effectively discusses issues and solutions with senior management.

·Prepares audit reports in good form, with recommendations, appraisals, or analyses that will assist the managers with the proper discharge of their responsibilities.

·Ensures that audit reports clearly communicate risks and key audit issues from a senior management and Board perspective.

·Develops and maintains effective interpersonal relationships with staff and management to ensure timely resolution of audit issues and findings.

·Ensures timely and adequate two-way communication before, during, and after each audit project to ensure mutual understanding with management of audit scope, process and results.