Internal Audit Senior, Asset Management

Apply Now    
Job ID:
20180103-48
Job Category:
Internal Audit
Relevant Work Experience:
Accounting and Finance-2-5 yrs, Internal Audit, Financial Services-less than 2 yrs, Financial Services-2-5 yrs, Accounting and Finance-less than 2 yrs
Current Licenses / Certifications:
Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Position Located In:
CO - Lone Tree, CO - Denver
Education:
BA/BS
Job Type:
Full Time
Description:

Lone Tree - CO, DENR3, 9800 Schwab Way, 80124
Jessie M. Golden
20180103-48

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 Asset Management Audit Managing Director, the Internal Audit Senior – Asset Management will have responsibility for assisting in the independent and objective assurance activity designed to improve the organization’s operations by evaluating and improving the effectiveness of risk management, control, and governance processes. 

What you’ll do:

  • Participation as a team member in the performance of internal audits for the Asset Management entities, including integrated audits conducted in conjunction with the Schwab Technology Services (STS) audit team.  Specific tasks will include:Work with a co-sourced team of internal audit professionals ensuring work is performed in accordance with IIA standards and is consistent with the IAD Charter and Policies and Procedures.
    • 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 Managing Director-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.
  • Conduct validation testing of the audit issue action plans completed by the business, including reviewing the remediation efforts taken to address issues reported.
  • In coordination with the STS audit team, perform integrated audit and promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies.
  • Participate in special audits as requested by Executive Management or the Audit Committee according to the Internal Audit Charter and Policies.

What you have:

  • 2+ years of financial services-related audit experience with increasing responsibility.  Asset Management specific internal audit and/or similar Big 4 Accounting or regulatory experience a plus.
  • Demonstrated experience working on internal audits within 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, or other applicable financial services and/or risk management certifications preferred.
  • 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 with a demonstrated ability to articulate effectively and professionally.

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 Internal Auditor - CIA, Certified Public Accountant - CPA
Relevant Work Experience: Accounting and Finance-2-5 yrs, Internal Audit, Financial Services-less than 2 yrs, Financial Services-2-5 yrs, Accounting and Finance-less than 2 yrs
Position Located In: CO - Lone Tree, CO - Denver
Education: BA/BS
Job Type: Full Time

Category:Internal Audit
Activation Date: Thursday, January 11, 2018
Expiration Date: Thursday, March 1, 2018
Apply Here
Apply Now    
Link for schema

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.