Charles Schwab
Senior IT Auditor, Broker Dealer/Asset Management
Charles Schwab, Phoenix, Arizona, United States, 85003
Senior IT Auditor, Broker Dealer/Asset Management
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to evaluate whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to assess 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 (BDAM) Audit Team is seeking a Senior IT Auditor (Senior Specialist, Internal Audit – Technology) primarily responsible for audit activities covering BDAM focused on key application risks and controls. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing.
Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have responsibility for the independent, objective assurance activity 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. The role focuses on application technology risks within coordinated audits and works closely with operational auditors. The position also involves working with audit resources provided by an external co-sourcing provider.
What You’re Good At
Audit Execution: Participate in the planning and execution of internal audit assignments specific to technology, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities include scheduling and participation in audit meetings; drafting audit work; designing and executing testing; completing and reviewing work papers; and tracking audit status, issue status, and budgets.
Issues Identification: Based on audit testing results, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager and subsequent debriefing with 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: Participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and scoring and documenting risk ratings.
Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit, including onboarding and ongoing support.
Administration/Training: Complete firm-wide and departmental administration and training requirements.
Other Initiatives/Special Projects: Assist with special projects related to business process improvement or internal team needs.
What You Have
3–5+ years of information technology audit experience; financial services and/or Big 4 accounting experience is a plus.
Demonstrated experience performing internal audits and working with team members in a complex operational and regulatory environment.
Knowledge and experience in control theory and professional auditing practices.
Ability to work as part of a project team and establish strong working relationships with external co-sourcing providers and internal stakeholders.
CPA, CIA, or CISA preferred; other relevant certifications will be considered.
Understanding of risks and internal controls, and the ability to evaluate their adequacy and effectiveness.
Awareness of industry and regulatory issues and standard methodologies; ability to share knowledge with the team and auditees.
Excellent analytical skills, including anticipation of issues and design of appropriate solutions.
Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally.
Ability to influence others and build authentic, trusted relationships to create alignment and support.
Bachelor’s degree strongly preferred.
What’s in it for You At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our hybrid work and flexibility approach balances our commitment to workplace flexibility, serving our clients, and 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 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
#J-18808-Ljbffr
The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior IT Auditor (Senior Specialist, Internal Audit – Technology) primarily responsible for audit activities covering BDAM focused on key application risks and controls. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing.
Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have responsibility for the independent, objective assurance activity 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. The role focuses on application technology risks within coordinated audits and works closely with operational auditors. The position also involves working with audit resources provided by an external co-sourcing provider.
What You’re Good At
Audit Execution: Participate in the planning and execution of internal audit assignments specific to technology, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities include scheduling and participation in audit meetings; drafting audit work; designing and executing testing; completing and reviewing work papers; and tracking audit status, issue status, and budgets.
Issues Identification: Based on audit testing results, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager and subsequent debriefing with 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: Participate in the annual Risk Assessment process, including scheduling and participation in meetings with partners, and scoring and documenting risk ratings.
Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit, including onboarding and ongoing support.
Administration/Training: Complete firm-wide and departmental administration and training requirements.
Other Initiatives/Special Projects: Assist with special projects related to business process improvement or internal team needs.
What You Have
3–5+ years of information technology audit experience; financial services and/or Big 4 accounting experience is a plus.
Demonstrated experience performing internal audits and working with team members in a complex operational and regulatory environment.
Knowledge and experience in control theory and professional auditing practices.
Ability to work as part of a project team and establish strong working relationships with external co-sourcing providers and internal stakeholders.
CPA, CIA, or CISA preferred; other relevant certifications will be considered.
Understanding of risks and internal controls, and the ability to evaluate their adequacy and effectiveness.
Awareness of industry and regulatory issues and standard methodologies; ability to share knowledge with the team and auditees.
Excellent analytical skills, including anticipation of issues and design of appropriate solutions.
Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally.
Ability to influence others and build authentic, trusted relationships to create alignment and support.
Bachelor’s degree strongly preferred.
What’s in it for You At Schwab, you’re empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration—so you can build the skills to make a lasting impact. Our hybrid work and flexibility approach balances our commitment to workplace flexibility, serving our clients, and 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 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
#J-18808-Ljbffr