Senior Audit Specialist

  • Competitive
  • Arlington, VA, USA
  • Permanent, Full time
  • E Trade Financial
  • 10 Jan 18 2018-01-10

The Senior Audit Specialist will lead audits to ensure E*TRADE's processes are conducted accordingly to the highest professional and regulatory standards.


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 Senior Audit Specialist will lead audits to ensure E*TRADE's processes are conducted accordingly to the highest professional and regulatory standards.

Manage / Execution of Audit Process - 65%

* 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 issues and audit reports to summarize audit findings

* Prepare work papers, schedules, and summarizes documenting audit evidence, conclusions and findings reached

Leadership - 20%

* Provide audit project supervision role for staff auditors

* Escalate risk issues and follow up on resolutions

* Identify potential department improvement projects

* Take responsibility for staff auditors and own work product

* Identify and share relevant business and audit topics with the audit group

Building Relationships - 15%

* 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


* Bachelor's Degree in Accounting, Finance, Economics or related field

* 4+ years of public accounting or sophisticated internal audit experience (1 year minimum as a senior)

* Prior Financial Services audit experience

* Willingness to travel up to 20%


* CPA / CIA (or willingness / ability to obtain one of these certifications)

* Strong communication skills



We offer a competitive and comprehensive benefits package. Please visit 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.