Manager, Audit

E*Trade Financial   •  

Jersey City, NJ

Industry: Finance & Insurance

  •  

5 - 7 years

Posted 41 days ago

This job is no longer available.

SUMMARY

The Audit Manager will lead audits to ensure that the E*TRADE's operations are conducted according to the highest professional and regulatory standards

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

Basic

  • Bachelor's degree in Accounting, Finance, Economics, or related field is required
  • 5+ years of financial services-related audit experience with increasing responsibility

Preferred

  • 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/within first year of employment 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
  • Heavy analytical experience
  • Financial experience preferred, familiar with use of data analytics tools; Tableau, MS BI, or Python
  • Detail oriented and have keen interest in process improvement area
  • Ability to communicate clearly and effectively, both orally and in writing
  • Effective project management skills
  • Intermediate/advanced Excel skills
  • Minimal travel requirement