San Francisco - CA, SF211MN, 211 Main St, 94105-1905
Lee Ann Leonhart
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 provides independent and objective assessments of the effectiveness of risk management activities and the internal control environment. Reporting to the EVP, Internal Audit, the Vice President, Internal Audit Corporate and Risk Management will have 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. This position is also responsible for liaising with the firm’s risk management functions, external co-sourcing provider, and regulators. This role offers the opportunity to work in diverse areas of the business and to gain a broad perspective of all operations and activities. The position requires involvement in major change activities affording the opportunity to shape the direction of internal audit. Additional responsibilities will include:
- Manage a co-sourced team of internal audit professionals ensuring work is performed in accordance with IIA standards and is consistent with the businesses Charter and Policies and Procedures.
- 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.
- Direct and manage the design and successful execution of 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.
- Maintain business relationships with appropriate levels of management 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 executives, audit, and risk committees.
- Provide a thoughtful, risk-based corporate and risk management 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.
- Develop a comprehensive risk-based, long-range program of corporate and risk management internal audit coverage, and contribute to the department’s overall strategic plan.
- Promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies.
- Collaborate and coordinate with the internal audit operational teams and other risk management functions.
- Interact with regulatory agencies and examiners including overseeing/administering information gathering and preparation of requested reports.
- Participate as an integral member of the Audit Leadership Team, including providing strategic direction and insight into the audit operations through identifying enhancements, areas of focus and personnel skill sets necessary for Charter execution.
- Conduct special audits as requested by executive management or the Audit Committee according to the Internal Audit Charter and Policies and Procedures.
- 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.
- Manage progress in executing the Internal Audit Plan, including the audit planning process and approval of audit scope, audit work program, and testing approach.
- Evaluate the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses reported including internal audit issues and regulatory findings.
- 10+ years of internal audit experience with increasing responsibility. Financial services and/or Big 4 Accounting experience a plus.
- Demonstrated experience managing internal audits and associated team members within a complex operational and regulatory environment.
- CPA, CIA or other applicable certification preferred.
- Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
- Stays current on industry and regulatory issues and best practices for assigned areas; imparts this knowledge to the team and the auditees.
- Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions
- 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 the firm; 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:
- Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
- Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
- Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
- 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.
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 Information Systems Auditor - CISA, Certified Internal Auditor - CIA
|Relevant Work Experience:
|Position Located In:
||CA - San Francisco
Activation Date: Friday, March 2, 2018
Expiration Date: Saturday, March 31, 2018