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Vice President, Audit – Information Technology
E*Trade Financial
Arlington, VA, United States
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THE COMPANY
E*TRADE is a leading financial services company and a pioneer in the online brokerage industry. Having executed the first-ever electronic trade by an individual investor more than 30 years ago, the company has long been at the forefront of the digital revolution, offering easy-to-use solutions for individual investors and stock participants. Founded on the principle of innovation and determined to level the playing field for individual investors, E*TRADE delivers digital platforms, tools, and professional assistance to help investors and traders meet their near-and long-term investing goals. The Company provides these services both online and through its network of customer service representatives and financial consultants – over the phone at two national branches and in-person at 30 E*TRADE branches.
E*TRADE Financial is an S&P 500 Financial Services firm that delivers brokerage services and related products primarily through the internet. The Company manages $290 billion in customer assets, 3.3 million customer accounts, and a $49 billion balance sheet. Our unique culture of innovation fosters individual growth in an environment where you will be continually learning and challenged to develop your career.
Reporting into the Chief Audit Executive acting as the primary authority and leader for the Information Technology audit plan in a highly regulated environment. Responsibilities will also extend into Brokerage audit. This individual will develop relationships with company executives, and manage a team of auditors through the complete audit process.
• Produce annual Internal Audit Risk Assessment for information technology areas.
• Ensure internal audit-related regulatory requirements are met.
• Provide timely and accurate completion of assigned audit plan..
• Manage audit plan with approved time and expense budgets, and evaluates appropriate level and experience of resources to successfully execute the audit plan.
• Oversee and assist in planning the scope of each audit as well as the nature, timing and extent of audit testing that will be performed.
• Supervise ongoing audits, identify critical control issues, and recommend corrective actions.
• Ensure timely and adequate communication before, during, and after each audit to ensure mutual understanding with management of audit scope, process and results.
• Supervise and coach audit staff, ensuring assignments are adequately planned in advance and performed in accordance with Internal Audits standards.
• Supervise the work of the IT Audit staff (or other staff as assigned).
• Proactively develop and maintain effective interpersonal relationships with staff and management to ensure timely resolution of audit issues and findings.
• Identify root causes of technology-related problems and effectively discuss issues and solutions with senior management.
• Prepare well written audit reports, and provide critical review notes and comments to the team responsible for the initial draft of audit reports (and other correspondences) to ensure clarity, conciseness, and comprehensibility.
• Ensure that audit reports clearly communicate risks and key audit issues from an executive and Board perspective.
• Bachelor’s Degree in accounting, finance, economics, information technology or related fields required
• 10+ years’ experience in a comparable role within internal audit (can include external audit experience), with 5+ years specific experience in sophisticated information technology environment
• Experience in banking, brokerage or financial services industry preferred
• 4+ years leading and developing individuals/teams to deliver a value-added assurance function
• Fully knowledgeable of key IT risks in the areas of IT general computer controls.
• Strong, effective communicator (verbally and in writing) with executive management, and external parties
• Demonstrated success establishing and maintaining strong working relationships with all levels of associates, management, executives and external parties including regulators
• Flexibility and experience to manage multiple, high-priority tasks while meeting deadlines
• Experience driving change within one’s own function
• Professional certification such as a CISA preferred.
• Travel required.
We offer a competitive and comprehensive benefits package. Please visit https://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.