Internal Audit Manager, Project Risk

Charles Schwab   •  

Phoenix, AZ

Industry: Accounting, Finance & Insurance


5 - 7 years

Posted 85 days ago

This job is no longer available.


Phoenix - AZ, PHX8040, 8040 South 48th Street, 85044


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 byChuckover 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:

The Charles Schwab Corporation Internal Audit Department (IAD) provides independent, objective assurance services to evaluate and improve the effectiveness of risk management activities and internal controls. The results of internal audits are reported to the Audit Committee of the Board of Directors and are subject to external regulatory examinations.

As a third line of defense, IAD tracks, monitors and analyzes strategic initiatives and projects throughout the organization.  Reporting to the Managing Director, Project Risk Audit, this position has responsibility for the independent and objective evaluation of project risk either through continuous monitoring activities or through point-in-time pre/post implementation reviews of key control components within the project management lifecycle.  This position is also responsible for liaising with the firm’s risk management functions, external co-sourcing provider, and regulators.

What you’ll do:

  • Manage a team of internal audit professionals in both the monitoring activities over key projects, and conducting independent assessments of management’s activities related to project governance, risk and control identification, ensuring work is performed in accordance with IIA standards and is consistent with the businesses Charter and Policies and Procedures. 
  • Scope and execute pre/post implementation reviews related to project management process controls (e.g., governance, risk management, testing, delivery), and business and system validation controls (e.g., system/business process design, application configuration, system architecture, security).
  • Manage the design and successful execution of the targeted project based audits over specific components of the project or development process (i.e., data conversion review, integration testing review).
  • Assist with the delivery of internal audit project related reports that capture the themes of the audit and reflect the tone of the overall rating.
  • Review key internal audit project related work papers to ensure clear identification and communication of risks and issues prior to presentation to senior management.
  • Maintain business relationships with appropriate levels of management ensuring IAD is aware of key changes to key initiatives/project activities and objectives for appropriate response.
  • Continuously monitor for changes in project management and technology that may affect the project risk environment and, therefore, require possible changes to the project based audit plan or to the scope of planned project related audits.
  • Identify themes, trends, and emerging project-related risks for escalation and communication to executives, audit, and risk committees.

What you have:

  • 5+ years of project management, development and/or IT auditexperience with increasing responsibility. Financial Services Internal Audit and/or ‘Big 4’ experience strongly preferred.
  • Knowledge of project management and development methodologies preferred (e.g., PriSM, Prince2, Scrum, Agile, Waterfall).
  • Demonstrated experience managing audits and associated team members within a complex operational and regulatory environment.
  • PMP, CAPM, PMI-RMP, CISA, CISSP, CPA, CIA or other applicable certification preferred.
  • Ability to oversee project teams and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
  • Stay abreast of emerging 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.
  • Leverage 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.
  • Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally.
  • Ability to travel - up to 20%.

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