Charles Schwab
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Senior Auditor, Bank
role at
Charles Schwab
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, evaluate whether risks are adequately controlled, and challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls. The Internal Audit Bank enterprise team is focused on the execution of Bank and Trust audits that target governance processes, risk management programs, internal controls, and regulatory compliance. The team also shares responsibility for regulatory agency interactions, Board and Executive Management reporting, and general relationship management. Internal Audit activities are directed toward the Charles Schwab Banking and Trust Services (BTS) organization, which represents three federally-chartered banks and two personal trust companies, wholly‑owned subsidiaries of the Charles Schwab Corporation.
What You’ll 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 include scheduling and participation in audit meetings; participation in scoping discussions; drafting audit deliverables; design and execution of testing; and completion and review of work papers. Assist in tracking team operations including 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: Under the direct supervision of IAD Management, 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. Provide assistance 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.
What you have
3-5+ years of financial services‑related audit experience with growing responsibility. Bank and/or Trust experience specific to internal audit and/or similar Big 4 Accounting or regulatory experience is a plus.
Demonstrated experience performing internal audits in a sophisticated 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 or CISA strongly preferred; other relevant certifications will be considered.
Understanding of risks and internal controls and the ability to evaluate and determine adequacy and efficiency of controls.
Stays current on industry and regulatory issues and standard methodologies; imparts this knowledge to the team and the auditees.
Excellent analytical skills, including the ability to anticipate issues and to craft appropriate solutions.
Strong verbal and written communication skills with a demonstrated ability to articulate effectively and authoritatively.
Bachelor’s degree required.
Ability to travel occasionally.
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 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 Mid‑Senior level
Employment type Full-time
Job function Accounting/Auditing and Finance
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Senior Auditor, Bank
role at
Charles Schwab
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, evaluate whether risks are adequately controlled, and challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls. The Internal Audit Bank enterprise team is focused on the execution of Bank and Trust audits that target governance processes, risk management programs, internal controls, and regulatory compliance. The team also shares responsibility for regulatory agency interactions, Board and Executive Management reporting, and general relationship management. Internal Audit activities are directed toward the Charles Schwab Banking and Trust Services (BTS) organization, which represents three federally-chartered banks and two personal trust companies, wholly‑owned subsidiaries of the Charles Schwab Corporation.
What You’ll 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 include scheduling and participation in audit meetings; participation in scoping discussions; drafting audit deliverables; design and execution of testing; and completion and review of work papers. Assist in tracking team operations including 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: Under the direct supervision of IAD Management, 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. Provide assistance 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.
What you have
3-5+ years of financial services‑related audit experience with growing responsibility. Bank and/or Trust experience specific to internal audit and/or similar Big 4 Accounting or regulatory experience is a plus.
Demonstrated experience performing internal audits in a sophisticated 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 or CISA strongly preferred; other relevant certifications will be considered.
Understanding of risks and internal controls and the ability to evaluate and determine adequacy and efficiency of controls.
Stays current on industry and regulatory issues and standard methodologies; imparts this knowledge to the team and the auditees.
Excellent analytical skills, including the ability to anticipate issues and to craft appropriate solutions.
Strong verbal and written communication skills with a demonstrated ability to articulate effectively and authoritatively.
Bachelor’s degree required.
Ability to travel occasionally.
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 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 Mid‑Senior level
Employment type Full-time
Job function Accounting/Auditing and Finance
#J-18808-Ljbffr