Charles Schwab
Senior Auditor, Broker Dealer/Asset Management
Overview
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine whether significant risks are identified and reported by management and risk functions to the Board and Executive Management, and to evaluate whether risks are adequately controlled, challenging governance to improve processes, controls, and efficiency.
The Broker-Dealer/Asset Management enterprise team seeks a Senior Auditor (Senior Specialist). The 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 scope includes audit execution and oversight for client-facing activities, product solutions and market expertise, portfolio advisory services and research, asset management functions, corporate client services (including stock plan and retirement plan services), compliance and employee trade monitoring, and middle/back office operations.
Reporting to a Director or Senior Manager, the Senior Auditor will assist in independent and objective assurance activities designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
What You’ll Do
Audit Execution: Participate in planning and execution of internal audit assignments in accordance with IIA standards and IAD policies. Responsibilities include scheduling and participating in audit meetings, scoping discussions, drafting deliverables, designing and executing testing, and completing and reviewing work papers. Assist in tracking team operations including audit status, issue status, and budgets.
Issues Identification: Draft audit observations based on audit testing results for review by the Internal Audit Manager/Senior Manager and debrief with key partners.
Issue Management and Validation: Conduct validation testing of audit issue action plans completed by the business.
Risk Assessment: Under supervision, participate in the annual Risk Assessment process, including meetings with partners and documentation of risk ratings.
Coaching: Provide support, mentoring, and feedback to audit team members; assist with onboarding and ongoing support to new team members.
Administration/Training: Complete firm-wide and departmental administration and training requirements.
Other Initiatives/Special Projects: Assist with special projects related to business operational improvement or internal team needs as needed.
What You Have
3 - 5+ years of financial services-related audit experience with increasing responsibility. Broker Dealer/Asset Management experience in internal audit or similar Big 4/regulatory experience a plus.
Demonstrated experience performing internal audits in a complex operational and regulatory environment.
Ability to work as part of a project team and build relationships with external co-sourcing providers and internal lines of business.
CPA, CIA, CISA strongly preferred. Other relevant certifications will be considered.
Understanding of risks and internal controls and ability to evaluate adequacy and efficiency of controls.
Stays current on industry/regulatory issues and standard AML methodologies; shares knowledge with the team and auditees.
Excellent analytical skills and the ability to anticipate issues and design solutions.
Strong verbal and written communication skills with the ability to articulate information clearly.
Bachelor’s degree required.
What’s in it for you At Schwab, you’re empowered to shape your future through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances flexibility with the value of in-person collaboration. We offer a competitive benefits package that supports your well-being now and in the future:
401(k) with company match and Employee Stock Purchase Plan
Paid vacation, volunteering time, and a 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
Mid-Senior level
Employment type
Full-time
Job function
Accounting/Auditing and Finance
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The Broker-Dealer/Asset Management enterprise team seeks a Senior Auditor (Senior Specialist). The 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 scope includes audit execution and oversight for client-facing activities, product solutions and market expertise, portfolio advisory services and research, asset management functions, corporate client services (including stock plan and retirement plan services), compliance and employee trade monitoring, and middle/back office operations.
Reporting to a Director or Senior Manager, the Senior Auditor will assist in independent and objective assurance activities designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the efficiency of risk management, control, and governance processes.
What You’ll Do
Audit Execution: Participate in planning and execution of internal audit assignments in accordance with IIA standards and IAD policies. Responsibilities include scheduling and participating in audit meetings, scoping discussions, drafting deliverables, designing and executing testing, and completing and reviewing work papers. Assist in tracking team operations including audit status, issue status, and budgets.
Issues Identification: Draft audit observations based on audit testing results for review by the Internal Audit Manager/Senior Manager and debrief with key partners.
Issue Management and Validation: Conduct validation testing of audit issue action plans completed by the business.
Risk Assessment: Under supervision, participate in the annual Risk Assessment process, including meetings with partners and documentation of risk ratings.
Coaching: Provide support, mentoring, and feedback to audit team members; assist with onboarding and ongoing support to new team members.
Administration/Training: Complete firm-wide and departmental administration and training requirements.
Other Initiatives/Special Projects: Assist with special projects related to business operational improvement or internal team needs as needed.
What You Have
3 - 5+ years of financial services-related audit experience with increasing responsibility. Broker Dealer/Asset Management experience in internal audit or similar Big 4/regulatory experience a plus.
Demonstrated experience performing internal audits in a complex operational and regulatory environment.
Ability to work as part of a project team and build relationships with external co-sourcing providers and internal lines of business.
CPA, CIA, CISA strongly preferred. Other relevant certifications will be considered.
Understanding of risks and internal controls and ability to evaluate adequacy and efficiency of controls.
Stays current on industry/regulatory issues and standard AML methodologies; shares knowledge with the team and auditees.
Excellent analytical skills and the ability to anticipate issues and design solutions.
Strong verbal and written communication skills with the ability to articulate information clearly.
Bachelor’s degree required.
What’s in it for you At Schwab, you’re empowered to shape your future through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances flexibility with the value of in-person collaboration. We offer a competitive benefits package that supports your well-being now and in the future:
401(k) with company match and Employee Stock Purchase Plan
Paid vacation, volunteering time, and a 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
Mid-Senior level
Employment type
Full-time
Job function
Accounting/Auditing and Finance
#J-18808-Ljbffr