Internal Audit Senior, Broker Dealer

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Job ID:
20171120-5891
Job Category:
Internal Audit
Relevant Work Experience:
Financial Services-6+ yrs, Accounting and Finance-2-5 yrs, Internal Audit, Accounting and Finance-6+ yrs, Financial Services-2-5 yrs
Current Licenses / Certifications:
Certified Information Systems Auditor - CISA, Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Position Located In:
IL - Chicago, CO - Lone Tree, CO - Denver, TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Jessie M. Golden
20171120-5891

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 Chucko ver 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, the internal control environment, and compliance with applicable regulations.  Reporting to the Managing Director, the Audit Senior - Broker Dealer has responsibility for assisting in the independent and objective assurance activity designed to improve the firm’s operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes. 

What you’ll do:

  • Participate as a team member in the performance of internal audits for Broker Dealer entities, including integrated audits conducted in conjunction with the Schwab Technology Services audit team.  Specific tasks will include:
  • Conduct validation testing of the audit issue action plans completed by the business, including reviewing the remediation efforts taken to address issues reported by external parties (i.e., regulatory audit issues) when IAD has been tasked with this role.Assist in the scheduling and coordination of the department’s business and project monitoring tasks, though participation in meetings will generally be limited.
  • Schedule and participate in meetings throughout the course of the audit assignment, most notably during the planning and fieldwork phases.
  • Execute audit testing and participate in scoping decisions during the planning phase.
  • Document all aspects of audit work in accordance with departmental standards and procedures. Includes taking meeting notes, setting up work paper files, creating Planning Memos and Risk Control Matrices, and documenting audit test results.
  • Based on the results of audit testing, identify and draft audit observations for review by the Internal Audit Manager/Senior Manager (and above levels) and subsequent debriefing with the key stakeholders (typically VP-level and below).
  • Demonstrate fundamental audit techniques and the ability to work independently on assigned audit tasks within one year of hire.
  • When requested and under the supervision of IAD Management, participate in the annual Risk Assessment process, including scheduling and participation in meetings with stakeholders, and the scoring and documentation of risk ratings.

What you have:

  • 3+ years of financial services-related audit experience with increasing responsibility.
  • Broker Dealer experience, specific to internal audit and/or similar Big 4 accounting or regulatory experience a plus.
  • Demonstrated experience performing internal audits amongst a complex operational and regulatory environment.
  • Ability work as a member of a project team and cultivate a strong working relationship with external co-sourcing providers and internal lines of businesses.
  • Holding or in process of a achieving a CPA, CIA, CFSA, CFA or other applicable financial services and/or risk management certifications a plus.
  • Stays current on industry and regulatory issues and best practices for assigned areas; shares this knowledge to the team and the auditees.
  • Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions
  • Strong verbal and written communication skills

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. 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.


Job Specifications
Relocation Offered?: No
Work Schedule: Days
Languages: English - spoken
Current Licenses / Certifications: Certified Information Systems Auditor - CISA, Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Relevant Work Experience: Financial Services-6+ yrs, Accounting and Finance-2-5 yrs, Internal Audit, Accounting and Finance-6+ yrs, Financial Services-2-5 yrs
Position Located In: IL - Chicago, CO - Lone Tree, CO - Denver, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Internal Audit
Activation Date: Thursday, March 1, 2018
Expiration Date: Sunday, April 1, 2018
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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.