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 SOX Senior will help plan and execute SOX compliance efforts and internal audits to ensure that E*TRADE’s operations are conducted according to the highest professional and regulatory standards.
Execution of SOX Compliance
* Execute operating effectiveness testing of key SOX controls and company ITGCs
* Assist in evaluating various aspects of the Company’s SOX compliance framework and documenting design conclusions within the risk and control matrix, process design narratives and the SOX compliance tool.
* Provide support to the deficiency reporting and remediation process, including tracking remediation status of control deficiencies and other SOX-related findings
* Provide oversight as needed to the supporting staff
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
* Execute and oversee testing programs to analyze 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 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
* Partner with 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