Director, Control Testing Services

Category: Risk Management
Location: Arlington, VA
Job ID: 13643
Posted Date: February 13, 2020

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.




Responsible for leading, supervising, and executing the enterprise-wide internal controls testing program within the Operational Risk Management team. This position oversees and participates in the evaluation of the adequacy, effectiveness, and efficiency of internal controls and identifies weaknesses, along with providing recommendations to mitigate those weaknesses.  This position will serve as the subject matter expert over the SOX and 17a-5 compliance program.



  • Execution of E*TRADE’s Internal Controls Testing program, including:
    • Perform risk-based evaluation to identify key controls
    • Develop and execute test plans to assess the effectiveness of internal controls
    • Develop plans to remediate control weaknesses and monitor implementation
    • Develop reporting to senior management, management committees and the Board of Directors
    • With minimal supervision, perform risk evaluation of audit area to identify key controls for review.
    • Supervise the preparation of work papers, schedules, and summaries documenting testing and issues identified
  • Leadership
    • Build and lead a team of 3-5 staff in the execution of the internal controls testing program
    • Improve the efficiency and effectiveness of existing internal controls testing processes
    • Escalate risk issues and follow-up on solutions
    • Build and maintain effective relationships with key stakeholders including control owners, operational risk management partners, internal audit and the external auditor.


  • Bachelor’s degree in Accounting, Finance, Economics, or related field is required
  • 8+ years relevant experience in public accounting, or a combination of public and internal audit experience with a minimum of two 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


Preferred Qualifications

  • CPA and/or CIA preferred, if not willingness and qualifications to complete are essential. 
  • Willingness to travel


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.

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