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ETRADE Financial Corporation

Director, IT Compliance

ETRADE Financial Corporation - Alpharetta, GA

Director, IT Compliance


Asset Management

Risk Type:





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 Director, IT Compliance

is a highly motivated, consultative-minded individual with knowledge and experience within financial services and/or a technology company. This individual has broad based experience in Governance, Compliance, Controls and/or risk management. The successful candidate will have a Mastery of: (1) understanding risks in a complex IT environment, (2) key control identification and (3) reviewing appropriate testing of IT controls while drawing precise conclusions. Additionally, they will possess outstanding presentation skills, solid project management and problem-solving skills, driven by an effective communications style that builds strong relationships and impacts outcomes and decisions. Partner effectively with Enterprise Risk Management, Legal, Compliance and other support teams to assist in the delivery of key strategic initiatives. Acting as a visionary in establishing a comply once, comply many approach, will champion the integration of Internal Audit, Regulatory Exams, and other Compliance Requirements to ensure alignment to the taxonomy of Technology Enterprise Controls.

The position will support the Vice President, IT Compliance and Control with the planning and execution of risk management, audit, and continuous monitoring activities to establish and maintain strong risk management practices, governance and controls over the Technology department while driving process excellence.

* Manage Pre-/Post-testing items related to Internal and Regulatory audits, SOC 1/SOC 2, SOX, GLBA, and other Compliance initiatives.

* Understand the enterprise control framework and ensure alignment to the enterprise control library, while challenging recommendations to ensure gaps are satisfactory to control requirements.

* Assist with implementing project(s) to address multi-layer deficiencies and gaps.

* Manage Internal Audit, Regulatory, and other Compliance findings to maintain visibility of remediation and ensure delivery of requirements.

* Communicate risk and security issues in business context (i.e. translate technical risks to Business risks).

* Establish a credible partnership with 1st/2nd/3rd Line owners to establish strategy and manage business change to increase awareness/understanding of change requirements.

* Identify and assess the impact of control deficiencies and align to enterprise control framework.

* Ensure effective and efficient execution of all first line audit and compliance deliverables.

* Maintain high awareness of regulatory and business risks and issues, taking action to revise risk assessments, audits, and control framework.

* Supervise or act as a team lead for audit, regulatory, and compliance initiatives.

* Bachelor's (required) or Master's Degree in business, accounting, finance, computer science, information systems, engineering or a related discipline.

* 10 years of experience in either IT Governance, Compliance and Controls professional.

* 3 years building and managing high performance teams.

* Mastery of the following IT oversight skills: understanding risks in a complex IT environment, key control identification and extensive IT controls testing.

* Knowledge of technical security and controls standards, tools and techniques is preferred. Exceptional understanding and implementation of control frameworks: COBIT, NIST CSF, and ISO 27001/27002.

* Proven business and project management skills including the ability to manage multiple projects simultaneously in a dynamic environment.

* Strong analytical expertise, coupled with excellent verbal, written and facilitation/presentation skills to all levels, including C-Level audience.

* Manage extensive cross-group coordination at all levels of the organization utilizing outstanding people skills, demonstrating both impact and influence.

* Ability to think strategically, formulate plans and articulate recommendations.

* High sense of urgency and entrepreneurial work ethic to drive the desired outcome.

* Excellent writing, presentation and communications skills.

We offer a competitive and comprehensive benefits package.

Employment Type:

Full Time


Americas, United States






Post Date:


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10 days 4 hours ago

ETRADE Financial Corporation


Director, IT Compliance ETRADE Financial Corporation - Alpharetta, GA, United States


Location: Alpharetta, GA

Company Profile:
E*TRADE is an innovative financial services company offering a full suite of easy-to-use online brokerage, investing and related banking solutions, delivered at a competitive price. We empower individuals to take control of their financial futures by providing the products, tools and services they need to meet their near- and long-term investing goals.