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About the Role

The Internal Audit Department (IAD) is seeking a Senior IT Auditor to provide independent and objective assessments of risks, controls, and governance processes within the Broker Dealer Asset Management (BDAM) area. This role focuses on key application risks and controls, automated functionality, and data integrity, working closely with operational auditors and external co-sourcing providers.

Responsibilities

Participate in the planning and execution of technology-specific internal audit assignments.
Ensure work is performed in accordance with IIA standards and IAD policies.
Schedule and participate in audit meetings.
Participate in prioritization discussions.
Draft audit work.
Design and execute testing.
Complete and review work papers.
Assist in tracking 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, scoring, and documentation.
Provide support, mentoring, and feedback to audit team members.
Assist with onboarding and ongoing support to new team members.
Complete firm-wide and departmental administration and training requirements.
Assist with special projects as needed.

Requirements

3 - 5+ years of information technology audit experience.
Demonstrated experience performing internal audits in a complex operational and regulatory environment.
Knowledge and experience in control theory and professional auditing practices.
Ability to work as a member of a project team.
Ability to champion 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 effectiveness of controls.
Knowledge of the latest industry and regulatory issues and standard methodologies.
Excellent analytical skills, including the ability to anticipate issues and design appropriate solutions.
Strong verbal and written communication skills.
Demonstrated ability to articulate effectively and professionally.
Ability to use relationships and insights to successfully influence others.
Ability to build authentic and trusted relationships to create alignment and support.

Skills

Information technology audit
Internal audit
Control theory
Auditing practices
Risk assessment
Testing
Work paper documentation
Issue identification
Issue management
Validation testing
Analytical skills
Communication skills
Relationship building
Influencing

Location

Remote

Work Type

Full-time

Experience Level

Senior

Education Level

Bachelor's degree strongly preferred
CPA, CIA, or CISA 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.