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Senior Auditor, Risk Analytics/Modeling

3 months ago

Westlake, Ohio, United States Charles Schwab Full time

Charles Schwab Internal Audit Department provides independent and objective assurance crafted to make valuable contributions and improve the operations of Schwab for all partners.

Internal Audit assists Schwab to accomplish its objectives by using a detailed, focused approach to understand, evaluate, test and improve the effectiveness of business processes across the organization.

Additionally ,we evaluate the effectiveness of risk management, control and governance processes.

Internal Audit leadership is responsible for overseeing the execution of internal audits, identifying and implementing process improvements, monitoring vendor performance, and periodically report to governance committees, federal regulators and the Audit Committee.

The Internal Audit Department is exposed to and communicates with all areas of the company.

The Corporate Internal Audit team is seeking a Senior Specialist, Internal Audit, Risk Analytics/Modeling.

The Corporate team is responsible for execution of audits over the firm's corporate and risk management functions including model risk.


We are hiring a quantitative specialist to perform testing as part of audit reviews of model development, governance and validation controls.

This individual will contribute to the Corporate Internal Audit team.

The candidate will need a good understanding of statistics and models in general.


The role includes performing testing as part of audit reviews of various model types including: Capital Stress Testing (CST), Fraud, Anti-Money Laundering (AML), Machine Learning, Credit risk, Interest Rate risk, Margin risk, Investment risk, and Business Intelligence/Marketing.

The job responsibilities will include, but not be limited to:

  • Assisting with performing audit reviews of model development and validations following guidelines based on SR 11-7 Guidance on Model Risk Management, to include an assessment of model usage, documentation, conceptual soundness, data integrity, the control environment, and the software environment
  • Communicating work through formal model audit templates, reports, as well as through presentations to model owners and validation teams
  • Working effectively as a team member with other quantitative analysts at the company
  • Evaluating model performance monitoring reports, and conducting model annual reviews

From an audit execution perspective:

Audit Execution:

Participate in the planning and execution of internal audit assignments on models, ensuring work is performed in accordance with IAD methodology.


Issues Identification:
Based on the results of audit testing, identify and draft audit observations for review.

Issue Management and Validation:
Conduct validation testing of the audit issue action plans completed by the business.

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.

  • This will be an individual contributor role.

Required skills and qualifications:

  • Working on or attained advanced degree in a quantitative field (economics, statistics, finance, mathematics, physics)
  • Advanced skill with one or more analytical tools, such as SAS, R, Python, or MATLAB
  • Strong oral and written communication skills
  • Excellent people skills

Preferred skills and qualifications:

  • Understanding of statistical concepts and predictive modeling fields
  • Beginning exposure to model governance processes and regulatory requirements for large US banks
  • Exposure to model governance processes
In addition to the salary range, this position is also eligible for bonus or incentive opportunities

What's in it for you

At Schwab, we're committed to empowering our employees' personal and professional success.

Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry.

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