Charles Schwab
Senior Auditor, Broker Dealer/Asset Management
Charles Schwab, Phoenix, Arizona, United States, 85003
Senior Auditor, Broker Dealer/Asset Management
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, to evaluate whether risks are adequately controlled, and to challenge governance processes to improve efficiency of risk management and internal controls. The Broker-Dealer/Asset Management enterprise team provides internal audit coverage of the business processes and compliance functions for Schwab’s broker-dealers and investment advisors. The team’s scope includes 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) and compliance/employee trade monitoring solutions, as well as middle and back office operations. Reporting to a Director or Senior Manager in the Broker-Dealer/Asset Management enterprise team, the Senior Auditor will support independent assurance activities to improve operations and compliance by evaluating and improving risk management, controls, 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 and procedures. Responsibilities include scheduling and participation in audit meetings, scoping discussions, drafting audit deliverables, design and execution of testing, completion and review of work papers, and tracking team operations including audit status, issue status, and budgets. Issues Identification: Identify and draft audit observations based on testing for review by IAD management and debriefing with key partners. Issue Management and Validation: Conduct validation testing of audit issue action plans completed by the business. Risk Assessment: Participate in the annual Risk Assessment process, including scheduling meetings and documenting risk ratings under supervision. Coaching: Provide support and feedback to audit team members; assist with onboarding and ongoing support for 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. What You Have 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer/Asset Management experience in internal audit or similar Big 4/regulatory experience is a plus. Demonstrated experience performing internal audits within a complex operational and regulatory environment. Ability to work as part of a project team and collaborate 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 and regulatory issues and standard AML methodologies; shares knowledge with the team and auditees. Excellent analytical skills and ability to anticipate issues and design solutions. Strong verbal and written communication skills with ability to articulate clearly. Bachelor’s degree required. What’s in it for you At Schwab, you’re empowered to shape your future. We support growth through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances flexibility with in-person collaboration. We offer a competitive benefits package for today and the future, including: 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and a sabbatical after every 5 years of service for eligible positions Paid parental leave and family building benefits Tuition reimbursement Health, dental, and vision insurance
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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, to evaluate whether risks are adequately controlled, and to challenge governance processes to improve efficiency of risk management and internal controls. The Broker-Dealer/Asset Management enterprise team provides internal audit coverage of the business processes and compliance functions for Schwab’s broker-dealers and investment advisors. The team’s scope includes 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) and compliance/employee trade monitoring solutions, as well as middle and back office operations. Reporting to a Director or Senior Manager in the Broker-Dealer/Asset Management enterprise team, the Senior Auditor will support independent assurance activities to improve operations and compliance by evaluating and improving risk management, controls, 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 and procedures. Responsibilities include scheduling and participation in audit meetings, scoping discussions, drafting audit deliverables, design and execution of testing, completion and review of work papers, and tracking team operations including audit status, issue status, and budgets. Issues Identification: Identify and draft audit observations based on testing for review by IAD management and debriefing with key partners. Issue Management and Validation: Conduct validation testing of audit issue action plans completed by the business. Risk Assessment: Participate in the annual Risk Assessment process, including scheduling meetings and documenting risk ratings under supervision. Coaching: Provide support and feedback to audit team members; assist with onboarding and ongoing support for 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. What You Have 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer/Asset Management experience in internal audit or similar Big 4/regulatory experience is a plus. Demonstrated experience performing internal audits within a complex operational and regulatory environment. Ability to work as part of a project team and collaborate 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 and regulatory issues and standard AML methodologies; shares knowledge with the team and auditees. Excellent analytical skills and ability to anticipate issues and design solutions. Strong verbal and written communication skills with ability to articulate clearly. Bachelor’s degree required. What’s in it for you At Schwab, you’re empowered to shape your future. We support growth through meaningful work, continuous learning, and a culture of trust and collaboration. Our Hybrid Work and Flexibility approach balances flexibility with in-person collaboration. We offer a competitive benefits package for today and the future, including: 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and a sabbatical after every 5 years of service for eligible positions Paid parental leave and family building benefits Tuition reimbursement Health, dental, and vision insurance
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