Lead IT Audit Specialist

2 weeks ago

Roanoke, Virginia, United States Charles Schwab Full time

Your Opportunity

The Internal Audit Department (IAD) at Charles Schwab Corporation offers impartial and thorough evaluations to ensure that all significant risks are recognized and accurately communicated by management and risk functions to the Board and Executive Management. This process assesses whether risks are effectively managed and challenges Executive Management to enhance the efficiency of governance, risk management, and internal controls.

The Corporate internal audit team is in search of a Lead IT Audit Specialist. This team is tasked with conducting audits over the firm's corporate and risk management functions. Audits encompass areas such as marketing, finance, treasury, accounting, vendor management, and human resources. Risk Management audits address compliance, credit, liquidity, market, and operational risk management. The team also verifies the resolution of audit and regulatory issues. The Lead IT Audit Specialist will focus on integrated audits that emphasize Application Controls, automated processes, and data integrity supporting business operations, including segregation of duties, configuration management, system interfaces, and data processing.

Reporting to the Director or Senior Manager of the Corporate team, the Lead IT Audit Specialist will contribute to the independent and objective assurance activities aimed at enhancing the organization's operations and compliance with essential regulations by evaluating and improving the effectiveness of risk management, control, and governance processes.

Key Responsibilities:

  • Audit Execution: Engage in the planning and execution of internal audit assignments, ensuring adherence to IIA standards and IAD policies. Responsibilities include scheduling and participating in audit meetings, scoping discussions, drafting audit findings, designing and executing tests, and completing and reviewing work papers. Additionally, assist in tracking team operations, including audit and issue status, as well as budgets.
  • Issues Identification: Based on audit testing outcomes, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager and subsequent discussions with key partners.
  • Issue Management and Validation: Conduct validation testing of action plans addressing audit issues completed by the business.
  • Risk Assessment: Under the guidance of IAD Management, participate in the annual Risk Assessment process, including scheduling and attending meetings with partners, and documenting risk ratings.
  • Coaching: Provide support, mentoring, and feedback to audit team members throughout the audit process. Assist with onboarding and ongoing support for new team members.
  • Administration/Training: Complete firm-wide and departmental administrative and training requirements.
  • Other Initiatives/Special Projects: Assist with special projects related to business operational improvements or internal team needs as required.

Qualifications:

  • Significant experience in information technology auditing with increasing responsibility. Experience in financial services and/or Big 4 Accounting is advantageous.
  • Proven experience conducting internal audits within a complex operational and regulatory environment.
  • Ability to collaborate effectively as part of a project team and build strong relationships with external co-sourcing providers and internal business lines.
  • CISA, CPA, or CIA certification is highly preferred. Other relevant certifications will be considered.
  • Strong understanding of risks and internal controls, with the ability to assess the adequacy and efficiency of controls.
  • Stays informed on industry and regulatory developments and best practices; shares this knowledge with the team and stakeholders.
  • Excellent analytical skills, with the ability to foresee issues and develop suitable solutions.
  • Strong verbal and written communication skills, demonstrating the ability to articulate effectively.
  • Bachelor's degree is required.

What We Offer:

At Schwab, we are dedicated to empowering our employees' personal and professional growth. Our supportive culture and focus on your development provide you with the tools necessary to make a positive impact in the finance industry. Our Hybrid Work and Flexibility approach balances our commitment to workplace flexibility with our dedication to serving clients and the value of in-person collaboration.

We provide a competitive benefits package that addresses your overall well-being, both now and in the future:

  • 401(k) with company match and Employee stock purchase plan
  • Paid time off for vacation, volunteering, and a 28-day sabbatical after every five years of service for eligible positions
  • Paid parental leave and family-building benefits
  • Tuition reimbursement
  • Health, dental, and vision insurance

Charles Schwab is an affirmative action employer, focused on employing and advancing qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace.

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