The Manager, Risk and Control Governance will report to the Director, Operational Risk within the Controller organization and performs control testing, operational risk management and governance activities in support of Finance processes. Responsibilities include the execution of the Finance organization's risk and control self-assessment (RCSA) process, coordination and execution of the design and effectiveness testing of operational controls, remediation of issues, adherence to firm-wide governance and policy requirements and execution of targeted risk assessments within the Finance organization.
• Develop and execute the Finance-wide first line controls testing program and execute and document the test steps, including test schedules, control evidence, conclusion and issues
• Oversee one or more team members in the execution of risk and control management activities
• Execution of operational risk-based reviews which could include financial, compliance and regulatory components.
• Investigating, analyzing and determining resolution for risk and control related matters impacting cross functions
• Reviewing and challenging control documentation
• Working with management on control deficiencies and developing action plans and remediation testing
• Assisting with the coordination of External Audit / Internal Audit / Regulator requests
• Support operational risk management reporting to Finance organization management
• Developing and executing risk and control change management projects with senior management and provide recommendations for improvement
• Assisting with developing, maintaining and documenting the Finance Department's business impact assessments, business continuity plans and business continuity testing
• Maintain and update the records inventory for finance departments and assist with testing
• Collaborate with Vendor Oversight and Business Relationship Owners (BROs) for vendor management matters to include vendor risk assessments and vendor issues
• Assist with the coordination of corporate policy updates for Finance Departments
- Bachelor's degree in Accounting or Finance
- 6+ years relevant experience in public accounting, or a combination of public and internal audit experience with a minimum of 2 years in financial services
- Advanced knowledge of audit and accounting methodologies and principles
- People management experience
- Strong oral and written communication skills
- Strong analytical and problem-solving skills and is a quick learner
- Working knowledge of data, application, IT general and end user computing controls
- Self-starter with the ability to work independently or as part of a team to ensure work is completed timely and in compliance with professional standards
- Capable of multi-tasking, including simultaneous execution of both core and ad hoc activities
- Advanced skills and ability to use Microsoft Office Suite (Excel, Word, PowerPoint), Visio, SharePoint, etc.
- Ability to build and maintain professional relationships with key stakeholders/process owners
· Certified Public Accountant (CPA) or Certified Internal Auditor (CIA) required, Certified Information Systems Auditor (CISA) license desired
· Masters degree in Finance, Accounting, or Business Management
We offer a competitive and comprehensive benefits package. Please visit https://www.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.
Who we Are
More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.
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