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The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to figure out whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.
The Broker-Dealer/Asset Management enterprise team is seeking an Internal Audit Technology Senior Specialist primarily responsible for executing application reviews in business integrated audits. The Broker-Dealer/Asset Management team provides internal audit coverage of the business and application process activities and compliance functions for Schwab’s registered domestic and international broker-dealers and registered retail and institutional investment advisors. The team’s scope includes audit execution and oversight for Schwab’s: (i) client-facing activities supporting retail investors and independent investment advisors on Schwab’s platform and their clients; (ii) client product solutions and market expertise; (iii) portfolio advisory services and research; (iv) asset management functions; (v) corporate client services, including stock plan services, retirement plan services, and compliance and employee trade monitoring solutions; and (vi) middle and back office operational functions.
Reporting to a Director or Senior Manager of the Broker-Dealer/Asset Management team, the Internal Audit Technology Senior Specialist 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 efficiency of risk management, control, and governance processes specifically around applications supporting the Broker-Dealer/Asset Management enterprise. This position will focus on application technology risks within the coordinated audits, working closely with the operational auditors. This position is also responsible for working with audit resources provided by an external co-sourcing provider.
What you’re good at
Full Time
Securities
$88k-106k (estimate)
04/23/2024
05/11/2024
aboutschwab.com
SAN FRANCISCO, CA
15,000 - 50,000
1986
WALTER W BETTINGER II
$10B - $50B
Securities