Senior Specialist, Internal Audit

Your Opportunity

Schwab remains committed to providing increased visibility to career growth opportunities and job requirements. This posting announcement is part of increased transparency and while all qualified applicants will be reviewed and considered, this organization has a preferred candidate identified for this role. 

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 effectiveness of governance processes, risk management, and internal controls.

The Broker-Dealer/Asset Management enterprise team is seeking a Senior Specialist. The Broker-Dealer/Asset Management 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 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 management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions.

Reporting to a Director in the Broker-Dealer/Asset Management enterprise team, the Senior Specialist will have responsibility for assisting in the for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes.

What you have

1+ years of financial services-related audit experience with increasing responsibility. Broker Dealer/Asset Management experience specific to internal audit and/or similar Big 4 accounting or regulatory experience a plus.
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 applicable financial services and/or risk management certifications considered.
Understanding of risks and internal controls and the ability to evaluate and determine the adequacy and effectiveness of controls.
Stays current on industry and regulatory issues and best practices for Broker- Dealer and Registered Investment Advisors; imparts this knowledge to the team and the auditees.
Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally.
Bachelor’s degree required. 
Ability to travel 15-20%