Internal Audit Director, Broker Dealer

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Job ID:
20170810-4079
Job Category:
Internal Audit
Relevant Work Experience:
Financial Services-6+ yrs, Internal Audit, Accounting and Finance-6+ yrs
Current Licenses / Certifications:
Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Position Located In:
TX - Dallas, TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Jessie M. Golden
20170810-4079

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 VP, Broker-Dealer, the Director, Broker Dealer has responsibility for the independent and objective assurance activity designed to improve the firm’s operations by evaluating and improving the effectiveness of risk management, control, and governance processes.  This position is also responsible for liaising with the firm’s risk management functions, external co-sourcing provider, and regulators.

What you’ll do:

  • Manage a co-sourced team of internal audit professionals ensuring work is performed in accordance with the Institute of Internal Audit standards and is consistent with the business' charter, policies, and procedures.
  • Direct and manage the design and successful execution of the internal audit plan and provide strategic and proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues.
  • Review key internal audit work papers including planning documents and audit reports to ensure clear identification and communication of risks and issues prior to presentation to senior management.
  • Ensure the execution of the audit plan reflects the annual Audit Response Programs and provides sufficient basis for providing an annual opinion for each critical risk process/function.
  • Maintain business relationships with appropriate levels of management ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response.
  • Continuously monitor for changes in the business that may affect the risk environment and, therefore, require possible changes to the audit plan or to the scope of planned audits.
  • Identify themes, trends, and emerging risks for escalation and communication to executives, audit, and risk committees.
  • Provide a thoughtful, risk-based broker/dealer perspective and help oversee all parts of the internal audit program including, but not limited to, risk assessment, audit plan development, audit plan execution, continuous monitoring, and project reviews.
  • Promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies.
  • Address issues during the internal audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem.
  • Evaluate the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses noted in the report.
  • Conduct special audits as requested by executive management or the Audit Committee according to the Internal Audit Charter and Policies and Procedures.

What you have:

  • 10+ years of internal audit experience with increasing responsibility.  Financial services and/or Big 4 Accounting experience a plus.
  • Demonstrated experience managing internal audits and associated team members within a complex operational and regulatory environment.
  • CPA, CIA or other applicable certification preferred.
  • Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
  • Stays current on industry and regulatory issues and best practices for assigned areas; imparts this knowledge to the team and the auditees.
  • Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
  • Leverages relationships and insights to successfully influence others. Builds authentic and trusted relationships to create alignment and support.
  • Thrives on initiating, building and cultivating strong relationships inside and outside the firm; highly collaborative; comfortable with debate and willing to challenge the status quo; navigates and activates alignment across organizational silos and upward.

What you’ll get:

  • Comprehensive Compensation and Benefits package
  • Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
  • Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
  • 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: Financial Services-6+ yrs, Internal Audit, Accounting and Finance-6+ yrs
Position Located In: TX - Dallas, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Internal Audit
Activation Date: Thursday, August 31, 2017
Expiration Date: Sunday, October 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.