San Francisco - CA, SF211MN, 211 Main St, 94105-1905
Jessie M. Golden
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.
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 Senior Manager will have responsibility for the independent and objective assurance activity designed to improve the organization’s operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position is also responsible for working with auditing resources provided by an external co-sourcing provider.
What you’ll do:
- Manage a co-sourced team of internal audit professionals, ensuring work is performed in accordance with Institute of Internal Audit (IIA) standards and is consistent with the IAD Charter and Policies and Procedures.
- Direct and supervise the design and successful execution of audits included in 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.
- Provide a thoughtful, risk-based perspective, especially as it relates to the asset management enterprise, and assist the Managing Director in the internal audit program including, but not limited to, risk assessment, audit plan development, audit plan execution, continuous monitoring, and project reviews.
- In coordination with the Schwab Technology Services (STS) audit team, perform integrated audit and 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.
- Participate and/or lead special audits as requested by Executive Management or the Audit Committee according to the Internal Audit Charter and Policies.
- Maintain business relationships with appropriate levels of management, first and second lines of defense, ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response.
- 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.
- Assess the quality of management’s risk & control self-assessments; and support the assessment of the operational risk management program that manages the risk and controls self-assessment program.
What you have:
- 5-8+ 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 managing internal audits within a complex operational and regulatory environment.
- Ability to cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
- 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.
- 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.
||English - spoken
|Current Licenses / Certifications:
||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
Activation Date: Monday, March 12, 2018
Expiration Date: Wednesday, May 16, 2018