Senior Manager, Internal Audit Professional Practices

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Job ID:
20170502-2172
Job Category:
Internal Audit
Relevant Work Experience:
Internal Audit, Compliance
Current Licenses / Certifications:
Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Position Located In:
AZ - Phoenix, CA - San Francisco
Education:
BA/BS
Job Type:
Full Time
Description:

Phoenix - AZ, PHX4750A, 4750 E Francisco, 85044-5359
Jessie M. Golden
20170502-2172

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities and the internal control environment.  Reporting to the IAD Managing Director Professional Practices, the Senior Manager Professional Practices will work with other team members to evolve the maturity of the internal audit function. This role offers the opportunity to challenge current internal audit processes, provide fresh perspectives and insights, and identify areas for improvement. The position will also entail preparation and review of reports to management and committees, and coordinating with other team members and the external co-sourcing provider to ensure timely completion of projects and reports.

What you’ll do:

  • Provide support to team leads by monitoring the status of internal audit and regulatory issues; includes preparation of weekly status reports.
  • Compile and aggregate information that requires escalation/approval by the EVP IAD and use data visualization tools to create biweekly dashboard reporting for EVP IAD review.
  • Assist with the preparation of reports to management and board committees on internal audit activities; includes collecting, analyzing, and validating the completeness and accuracy of data from various sources.
  • Review reported audit issues for appropriate attribute categorization, and analyze reported issues for themes and trends.
  • Perform Quality Assurance reviews of selected audits; identify themes and trends of specific teams and across the IAD team.
  • Periodically update internal audit policies and procedures to reflect the evolving internal audit methodology.
  • Monitor the department e-mail box for items that require action.
  • Serve as department intranet website administrator and make appropriate site updates when needed.
  • Manage various projects concurrently related to the responsibilities above.

What you have:

  • At least seven years of experience in internal audit, compliance, and/or risk management with increasing responsibility.
  • Big 4 Accounting or regulatory experience a plus.
  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively across all levels.
  • Strong project management skills required, with the ability to effectively manage several projects at once and identify and implement process improvements.
  • Strong attention to detail, analytical, and problem-solving skills.
  • CPA, CIA or other applicable financial services and/or risk management certification preferred.
  • Intermediate to advanced skills in working with Microsoft Office Suite.

The following qualifications are a plus:

  • Demonstrated experience in working within a complex operational and regulatory environment in the financial services industry in the last two years.
  • Experience working for a Consulting or Professional Services firm.
  • Working knowledge of TeamMate audit management system including: TeamRisk and TeamCentral.
  • Working knowledge of data analytics and visualization tools such as Tableau

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab.

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Relevant Work Experience: Internal Audit, Compliance
Position Located In: AZ - Phoenix, CA - San Francisco
Education: BA/BS
Job Type: Full Time

Category:Internal Audit
Activation Date: Thursday, May 4, 2017
Expiration Date: Saturday, July 1, 2017
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Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.