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.
·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.
Desired Skills & Experience
- 10-15 years’ experience in auditing.
- CPA, CIA or equivalent experience, with previous Internal Audit within financial services firms, OCC/Fed regulated environment preferred
- Demonstrate a bias for obtaining results
- Familiarity with major business processes within financial services
- Strong technical internal audit skills and financial institution control requirements
- Strong project management skills
- Excellent written and oral communications skills
- Ability to interact comfortably with senior/executive level management and board members
- Ability to build strong relationships with auditees
- BA/BS required. MBA a plus
An Online Investing & Trading Pioneer
Innovating for Over 25 Years
Over 4.5 Million Accounts in 40 Countries
$110 Billion in Customer Assets
E*TRADE Financial Corporation, through its subsidiaries, provides online brokerage and related products and services primarily to individual retail investors, under the brand name of E*TRADE Financial worldwide. It offers various brokerage products and services, including automated order placement and execution of the U.S. and international equities, currencies, futures, options, exchange-traded funds, mutual funds, and bonds. The company also provides quick transfer, wireless account access, extended hours trading, quotes, research, and advanced planning tools. Its banking products and services include checking, savings, sweep, money market, and certificates of deposit products. E*TRADE Financial primarily provides its services through its Web site at etrade.com, as well as through its network of customer service representatives, relationship managers, and investment advisors. The company was founded in 1982 and is based in New York, New York.