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About the Role
The Internal Audit Department (IAD) provides independent and objective assessments to ensure risks are identified, reported, and controlled. The Broker-Dealer/Asset Management team seeks a Senior Auditor to provide coverage for business processes and compliance functions within Schwab’s broker-dealers and investment advisors. This role involves evaluating and improving risk management, control, and governance processes.
Responsibilities
- Participate in the planning and execution of internal audit assignments according to IIA standards.
- Schedule and participate in audit meetings and scoping discussions.
- Draft audit deliverables and complete work papers.
- Design and execute testing.
- Track team operations, including audit status, issue status, and budgets.
- Identify and draft audit observations based on testing results.
- Conduct validation testing of business-completed audit issue action plans.
- Participate in the annual Risk Assessment process, including meetings and documentation of risk ratings.
- Provide support, mentoring, and feedback to audit team members.
- Assist with onboarding and ongoing support for new team members.
- Complete firm-wide and departmental administration and training requirements.
- Assist with special projects related to business operational improvement or internal team needs.
Requirements
- 3-5+ years of financial services-related audit experience with growing responsibility.
- Demonstrated experience performing internal audits in a complex operational and regulatory environment.
- Ability to work as a member of a project team.
- Ability to cultivate strong working relationships with external co-sourcing providers and internal lines of businesses.
- Understanding of risks and internal controls.
- Ability to evaluate and determine the adequacy and efficiency of controls.
- Ability to stay current on industry and regulatory issues and standard methodologies for AML.
- Ability to impart knowledge of AML to the team and auditees.
- Excellent analytical skills, including the ability to anticipate issues and design appropriate solutions.
- Strong verbal and written communication skills with a proven ability to articulate effectively and authoritatively.
Skills
- Broker Dealer/Asset Management internal audit experience
- Big 4 accounting experience
- Regulatory experience
- AML
Location
- Remote
Work Type
- Full-time
Experience Level
- Senior
Education Level
- Bachelor's degree required
- CPA, CIA, CISA strongly preferred
About the Company
- The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.
- The Broker-Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist).
- The Broker-Dealer/Asset Management team provides internal audit coverage of the business process activities and compliance functions for Schwab’s registered domestic and international broker-dealers and registered retail and institutional investment advisors.
- The team’s scope includes audit execution and oversight for Schwab’s: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab’s platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions.