Internal Audit Manager, Professional Practices

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Job ID:
20180108-172
Job Category:
Internal Audit
Relevant Work Experience:
Accounting and Finance-2-5 yrs, Internal Audit, Accounting and Finance-6+ yrs
Current Licenses / Certifications:
Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Position Located In:
TX - Westlake
Education:
BA/BS
Job Type:
Full Time
Description:

Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616
Jessie M. Golden
20180108-172

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 IAD Managing Director Professional Practices, the Manager Professional Practices will join a fast growing internal audit team to manage the quality assurance and improvement program to provide reasonable assurance to stakeholders that IAD activities are in accordance with the Charter, Policy, and Procedures, comply with applicable regulatory and industry guidance, are appropriate for the size, complexity, and risk profile of the organization, and are consistently followed. This role offers the opportunity to leverage prior internal audit experience in a heavily regulated financial services industry to challenge current internal audit methodology, provide fresh perspectives and insights, identify areas for improvement, and support the overall effort to meet regulatory expectations. The position will entail reviewing audit workpapers, internal audit issues and regulatory issues, and lead training and development efforts for the department.

What you’ll do:

  • Maintain quality assurance and improvement program plan.
  • Under the guidance of the IAD Managing Director Professional Practices, determine the scope and frequency of internal assessments.
  • Perform horizontal, targeted, team-based or regulatory focused quality assurance reviews for conformance with Schwab IAD standards and provide real-time guidance to teams to maintain compliance.
  • Prepare reports communicating results of quality assurance reviews, including thematic issues and tracking and monitoring remediation efforts.
  • Provide subject matter expertise related to the internal audit methodology, driving continuous improvement of internal audit processes.
  • Periodically update internal audit policies and procedures to reflect the evolving internal audit methodology and to meet regulatory expectations.
  • Develop training content and conduct onsite training sessions with internal audit team members, including onboarding of new team members.
  • Contribute to ad hoc projects to support department strategic initiatives.

What you have:

  • 5+ years of internal audit experience with increasing responsibility in public accounting or large bank holding company, strong knowledge of financial services processes, and regulatory requirements (FRB, OCC).
  • Working knowledge of Institute of Internal Auditor (IIA) International Professional Practices Framework, Federal Reserve Supplemental Policy Statement on the Internal Audit Function and Its Outsourcing (SR 13-1) and Amended Interagency Guidance on the Internal Audit Function and its Outsourcing (SR 03-5).
  • Experience in developing training content and facilitating onsite seminars or training sessions.
  • Holds a certification such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification.
  • Strong attention to detail, analytical, and problem-solving skills.
  • Strong project management skills required, with the ability to effectively manage multiple priorities and due dates.
  • Outstanding written and verbal communication skills with demonstrated ability to communicate effectively across all levels.
  • Intermediate to advanced skills in working with Microsoft Office Suite.
  • Experience with TeamMate preferred.
  • Up to 20% travel required.

 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, Accounting and Finance-6+ yrs
Position Located In: TX - Westlake
Education: BA/BS
Job Type: Full Time

Category:Internal Audit
Activation Date: Wednesday, January 24, 2018
Expiration Date: Friday, March 16, 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.