Brokerage Audit Manager
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.
The Audit Manager will lead audits to ensure that the E*TRADE’s operations are conducted according to the highest professional and regulatory standards
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.
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
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.
Bachelor’s degree in Accounting, Finance, Economics, or related field is required
Minimum 5 years public accounting or other sophisticated internal audit experience
CPA and/or CIA required before hire or within first year of employment
Prior Bank or Brokerage Financial Services experience STRONGLY preferred