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Senior Specialist in Internal Audit

2 months ago

Austin, Texas, United States Charles Schwab Full time
Your Opportunity

The Internal Audit Department (IAD) at Charles Schwab Corporation is dedicated to providing impartial and thorough evaluations to ensure that all significant risks are identified and accurately communicated by management and risk functions to the Board and Executive Management. The goal is to assess whether risks are effectively managed and to encourage Executive Management to enhance the efficiency of governance processes, risk management, and internal controls.

The Corporate internal audit team is on the lookout for a Senior Auditor (Senior Specialist). This team is tasked with conducting audits of the firm's corporate and risk management functions. The scope of corporate audits includes areas such as marketing, finance, treasury, accounting, vendor management, and human resources. Risk Management audits encompass compliance, credit, liquidity, market, and operational risk management. The team also verifies the resolution of audit and regulatory issues.

Reporting to the Director or Senior Manager of the Corporate enterprise team, the Senior Auditor will play a crucial role in the independent and objective assurance activities aimed at enhancing the organization's operations and adherence to key regulations by evaluating and refining the efficiency of risk management, control, and governance processes.

Key Responsibilities:
  • Audit Execution: Engage in the planning and execution of internal audit assignments, ensuring compliance with IIA standards and IAD policies. This includes scheduling and participating in audit meetings, scoping discussions, drafting audit deliverables, designing and executing testing, and reviewing work papers. Additionally, assist in tracking team operations, including audit status, issue status, and budgets.
  • Issues Identification: Based on audit testing results, identify and draft observations for review by the Internal Audit Manager/Senior Manager and subsequent discussions with key partners.
  • Issue Management and Validation: Conduct validation testing of audit issue action plans completed by the business.
  • Risk Assessment: Under the supervision of IAD Management, participate in the annual Risk Assessment process, including scheduling and attending meetings with partners, and documenting risk ratings.
  • Coaching: Provide guidance, 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:
  • 3 - 5+ years of audit experience in financial services with increasing responsibility. Experience in Corporate, Broker Dealer, Bank Operations, or Regulatory Compliance (including BSA/AML) is preferred.
  • Proven experience in conducting internal audits within a complex operational and regulatory environment.
  • Ability to collaborate effectively as part of a project team and foster strong working relationships with external co-sourcing providers and internal business lines.
  • CPA, CIA, CISA certifications are strongly preferred; other relevant certifications will be considered.
  • 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, sharing this knowledge with the team and stakeholders.
  • Excellent analytical skills, with the ability to foresee issues and devise appropriate solutions.
  • Strong verbal and written communication skills, with a demonstrated ability to articulate effectively.
  • Bachelor's degree is required.
  • Willingness to travel occasionally, less than 5%.