Senior Auditor, Broker Dealer/Asset Management
Join to apply for the Senior Auditor, Broker Dealer/Asset Management role at Charles Schwab
Senior Auditor, Broker Dealer/Asset Management
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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 Schwabs registered domestic and international broker-dealers and registered retail and institutional investment advisors. The teams scope includes audit execution and oversight for Schwabs: (i) client-facing activities supporting retail investors and independent investment advisors on Schwabs 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.
Reporting to a Director or Senior Manager in the Broker-Dealer/Asset Management enterprise team, the Senior Auditor will have responsibility for assisting in the for the independent and objective assurance activity designed to improve the organizations operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
What Youll Do
- Audit Execution: Participate in the planning and execution of internal audit assignments, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities will include: scheduling and participation in audit meetings; participation in scoping discussions; drafting of audit deliverables; design and execution of testing; and completion and review of work papers. Additionally, assist in the tracking of team operations including audit status, issue status, and budgets.
- Issues Identification: Based on the results of audit testing, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager (and above levels) and subsequent debriefing with the key partners (typically VP-level and below).
- Issue Management and Validation: Conduct validation testing of the audit issue action plans completed by the business.
- Risk Assessment: Under the direct supervision of IAD Management, participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and the scoring and documentation of risk ratings.
- Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit. Provide assistance with onboarding and ongoing support to new team members.
- Administration/Training: Completion of firm-wide and departmental administration and training requirements.
- Other Initiatives/Special Projects: As needed, assist with special projects related to business operational improvement or internal team needs.
- 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer/Asset Management experience specific to internal audit and/or similar Big 4 accounting or regulatory experience a plus.
- Demonstrated experience performing internal audits amongst a complex operational and regulatory environment.
- Ability to work as a member of a project team and cultivate a strong working relationship with external co-sourcing providers and internal lines of businesses.
- CPA, CIA, CISA strongly preferred. Other relevant certifications will be considered.
- Understanding of risks and internal controls and the ability to evaluate and figure out adequacy and efficiency of controls.
- Stays current on industry and regulatory issues and standard methodologies for AML; imparts this knowledge to the team and the auditees.
- Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
- Strong verbal and written communication skills with a shown ability to articulate effectively and authoritatively.
- Bachelors degree required.
- Ability to travel 15-20%
At Schwab, were committed to empowering our employees personal and professional success. Our purpose-driven, supportive culture, and focus on your development means youll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you both today and in the future:
- 401(k) with company match and Employee stock purchase plan
- Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
- Paid parental leave and family building benefits
- Tuition reimbursement
- Health, dental, and vision insurance
Seniority level
Seniority level
Mid-Senior level
Employment type
Employment type
Full-time
Job function
Job function
Accounting/Auditing and Finance
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