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Charles Schwab
100% Remote Available, United States (remote)
14 hours ago

Description

Your Opportunity: 

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, 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 (BDAM) team is seeking a Senior Auditor (Internal title is Senior Specialist). The BDAM team provides internal audit coverage of the business process activities and compliance functions for Schwab’s registered domestic and international broker-dealers, registered retail and institutional investment advisors and investment companies. The team’s scope includes audit execution and oversight for Schwab’s: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab’s platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset  and wealth management functions; (v) corporate client services, including stock plan services, retirement plan services, compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions.

 

Reporting to a Director or Senior Manager in the BDAM team, the Senior Auditor has responsibility for assisting in the independent and 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.

 

Workplace Flexibility Program: We're proud to support our employees in a working approach that allows you to bring your best self to work – whether that’s in the office or remote.

  • Most Schwabbies have the opportunity to voluntarily work in the office and/or at home based on their preference*
  • When the firm is ready to fully return to the office, employees will have the flexibility of a hybrid work environment, spending some time working remote and some time in the office.
  • Employees and managers can discuss and decide what works best for them, with additional flexibility available based on their role, business needs, and individual circumstances.
  • 100% remote available for a US based employee.

*Subject to change as Schwab is continually evaluating the current environment in order to best care for the safety and well-being of our employees.

What you are good at:

  • 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 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 Director-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.


Requirements

  • 3 - 5+ years of audit experience, preferably in capital markets, broker-dealer, and/or asset management areas and specific to internal audit or similar Big 4 accounting experience.  Similar regulatory and/or compliance testing experience to be considered.
  • 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.
  • 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.
  • Bachelor’s degree required.

Colorado Compensation:
Target Total Compensation - 63,400-125,500.

Your actual pay will be based on your skills and experience -- talk with your recruiter to learn more.

Job Information

  • Job ID: 66993225
  • Workplace Type: Remote
  • Location:
    100% Remote Available, United States
  • Company Name For Job: Charles Schwab
  • Position Title: Senior Auditor
  • Industry: Banking and Financial Services
  • Job Function: Sr. Auditor
  • Job Type: Full-Time
  • Min Education: BA/BS/Undergraduate
  • Min Experience: 3-5 Years

Schwab was built around a simple idea: put the client first. Lots of companies say that, but we work to keep clients at the heart of everything we do by offering a better, more modern way to build and manage wealth. Since day one, we've set out to challenge the status quo, looking for ways to offer our clients more value and a better experience. We're confident our approach can help people take ownership of their financial futures. Learn more about who we are here: https://www.aboutschwab.com/who-we-are

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