Internal Audit Senior Manager, Data Analytics

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Job ID:
20171130-6046
Job Category:
Internal Audit
Relevant Work Experience:
Financial Services-6+ yrs, Internal Audit, Financial Services-2-5 yrs
Current Licenses / Certifications:
None
Position Located In:
TX - Dallas, TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Lone Tree - CO, DENR3, 9800 Schwab Way, 80124
Jessie M. Golden
20171130-6046

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 Managing Director, IAD Data Analytics, the Internal Audit Senior Manager, Data Analytics 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, through the use of data analytics.  This position is also responsible for liaising with the firm’s risk management functions, external co-sourcing provider, and data owners across technology and various lines of business. 

What you’ll do:

  • Contribute to the development and implementation of a data analytics program as a key contact for IAD.  Develop and deliver written procedures, standards and training on the execution of data analytics within internal audits.
  • Coordinate day-to-day audit data analytics projects within integrated internal audits including:Guide teams to appropriately scope and execute data analytics focused on the most meaningful and relevant risks.
    • Interpreting data, analyze results using statistical techniques and provide ongoing reports
    • Developing and implementing data collection systems and other strategies that optimize statistical efficiency and data quality
    • Acquiring data from primary or secondary data sources and maintaining databases/data systems
    • Identifying, analyzing, and interpreting trends or patterns in complex data sets
    • Filtering and “cleaning” data, and reviewing computer reports, printouts, and performance indicators to locate and correct code problems
    • Record and track all data analytics activities across IAD
  • Guide teams to appropriately scope and execute data analytics focused on the most meaningful and relevant risks.
  • 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, and associated analytics.  
  • Work with a co-sourced team of internal audit IT professionals ensuring work is performed in accordance with IIA standards and is consistent with the department’s Charter and Policies and Procedures. 
  • Review key internal audit work papers, including data analytics results, to ensure clear identification and communication of technology-related risks and issues prior to presentation to senior management.
  • Participate in the design and successful execution of the internal audit plan and provide proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues, through the use of analytics. 
  • Maintain business relationships with peers across the organization ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response. 
  • Identify themes, trends, and emerging risks for escalation and communication to IAD senior management.
  • Provide a thoughtful, risk-based IT 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.
  • Enhance and promote the use of data analytics techniques to evaluate large data sets for trends and anomalies.
  • Address issues during the internal audit data analytics process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem. 

What you have:

  • 5-8 years of internal audit technology and/or data analytics experience with increasing responsibility.  Financial services and/or Big 4 Accounting experience a plus.
  • Demonstrated experience managing data analytics projects, within internal audits and their associated team members, amongst a complex operational and regulatory environment
  • Comprehensive knowledge and experience managing and/or performing data analytics of the following areas is critical:Bachelor’s degree in computer science, information technology, data analytics, or related field.
    • Technical expertise regarding data models, database design development, data mining and segmentation techniques.
    • Strong knowledge of and experience with reporting packages (Tableau, Alteryx etc.), and databases (SQL, Oracle, Teradata, etc.).
    • Knowledge of statistics and experience using statistical packages for analyzing large datasets.
    • Strong analytical skills with the ability to collect, organize, analyze, and disseminate significant amounts of information with attention to detail and accuracy.
    • Adept at queries, report writing and presenting findings
  • CISA, CPA, CIA or other applicable certification preferred.
  • Ability to lead a project data analytics projects and analyst and cultivate a strong working relationship with external co-sourcing provider, IAD management team members, and internal lines of businesses.
  • Maintains an ongoing understanding of internal audit technology data analytics to expand expertise in these areas and stays current on industry and regulatory issues and best practices for assigned areas; imparts this knowledge to the team and the auditees.
  • 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 advancing the goals and the future of the company; highly collaborative; comfortable with debate and willing to challenge the status quo; navigates and activates alignment across organizational silos and upward 2+ levels

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: None
Relevant Work Experience: Financial Services-6+ yrs, Internal Audit, Financial Services-2-5 yrs
Position Located In: TX - Dallas, TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Internal Audit
Activation Date: Tuesday, January 9, 2018
Expiration Date: Thursday, March 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.