Director, Internal Audit Professional Practices - QA Methodology

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Job ID:
20180316-1866
Job Category:
Internal Audit
Relevant Work Experience:
Internal Audit, Accounting and Finance-6+ yrs, Banking-6+ yrs
Current Licenses / Certifications:
Certified Internal Auditor - CIA, Certified Public Accountant - CPA
Position Located In:
CA - San Francisco
Education:
BA/BS
Job Type:
Full Time
Description:

San Francisco - CA, SF211MN, 211 Main St, 94105-1905
Jessie M. Golden
20180316-1866

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 Director 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 large bank internal audit experience in a heavily regulated financial services industry to strategically grow the quality assurance and improvement program, operationalize a retrospective review process, challenge current internal audit methodology, provide fresh perspectives and insights regarding the audit approach to issue follow-up and remediating regulatory issues, lead training and development efforts, and support the overall effort to meet evolving regulatory expectations.

What you’ll do:

  • Under the guidance of the IAD Managing Director, develop and execute on strategies to expand the quality assurance and improvement program scope, cycle coverage and plan.
  • Partner with the IAD VP and Managing Director to support improvements implemented related to the retrospective review process including status monitoring, quality assurance review, results aggregation and identification of themes and trends, and managing subsequent changes to audit approach.
  • Apply a systematic and disciplined approach to performing targeted and ongoing quality assurance reviews of internal audit issue remediation and regulatory issue validation.
  • Project manage action plan progress resulting from improvement opportunities identified.
  • Drive internal audit methodology continuous improvement efforts and change management to meet evolving regulatory expectations.
  • Educate and reinforce Schwab internal audit methodology requirements with team members, including onboarding new team members to become familiar with the methodology.
  • Contribute to ad hoc projects to support department strategic initiatives.

What you have:

  • At least ten 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).
  • Demonstrated experience in performing root cause analyses and/or retrospective reviews.
  • Strategic, learns quickly, with excellent analytical skills, including the ability to anticipate issues and design appropriate solutions.
  • Thrives on collaboration, knowledge sharing, and teaching others.
  • Holds a certification such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Information Systems Auditor (CISA), or similar professional certification.
  • Up to 20% travel to facilitate training sessions with IAD team members.

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: Internal Audit, Accounting and Finance-6+ yrs, Banking-6+ yrs
Position Located In: CA - San Francisco
Education: BA/BS
Job Type: Full Time

Category:Internal Audit
Activation Date: Wednesday, March 21, 2018
Expiration Date: Thursday, June 14, 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.