Charles Schwab

Manager, Internal Audit Application and System Controls

Charles Schwab • $90K — $130K *
Phoenix, AZ 85032In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5-7+ years of IT audit experience, preferably in financial services or Big 4 accounting.
  • Demonstrated expertise in leading IT audits within complex operational environments.
  • Proficient in relationship management with external partners and regulators.
  • Preferred certifications: CPA, CIA, CFE, or CISA; other relevant certifications may be accepted.
  • Strong grasp of risks and internal controls, with evaluative skills for effectiveness.
  • Keeps updated on industry regulations and best practices, sharing knowledge with the team.
  • Exceptional analytical ability to foresee challenges and craft solutions.
  • Strong verbal and written communication skills for effective stakeholder engagement.
  • Proven ability to build authentic relationships and align teams.

Responsibilities

  • Lead IT audit activities for Broker Dealer Asset Management, focusing on application risks.
  • Conduct assessments to ensure data integrity and automated functionality aligns with business processes.
  • Collaborate with operational auditors for coordinated audit efforts, enhancing comprehensive risk evaluation.
  • Oversee relationships with external co-sourcing providers for audit resource management.
  • Evaluate and optimize the organization’s risk management and internal control processes.
  • Prepare and present audit findings and recommendations to management and stakeholders.
  • Stay informed on regulatory requirements and industry standards to guide audit practices.

Benefits

  • Opportunity for professional development and continued education.
  • Exposure to a dynamic team within a reputable financial organization.
  • Chance to influence governance processes and risk management strategies.
  • Collaborative work environment with opportunities for mentorship and networking.
Full Job Description
Your Opportunity

The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments to determine 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 (BDAM) Audit Team is seeking a IT Audit Manager primarily responsible for audit activities covering BDAM focused on key application risks and controls. Application audits focus on automated functionality and data integrity that support business processes such as segregation of duties, configuration management, system interfaces, and data processing.

 

Reporting to a Director of the BDAM Application Controls team, the IT Audit Manager 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. 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 have
  • 5-7+ years of IT audit experience with increasing responsibility. Financial services and/or Big 4 Accounting experience a plus.
  • Proven experience leading IT internal audits and their associated team members, amongst a complex operational and regulatory environment.
  • Ability to lead a project team and nurture a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
  • CPA, CIA, CFE, or CISA strongly preferred. Other relevant certifications will be considered.
  • Clear understanding of risks and internal controls and the ability to evaluate and resolve adequacy and effectiveness of controls.
  • Stays current on industry and regulatory issues and standard methodologies; imparts this knowledge to the team and the auditees.
  • Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions.
  • Strong verbal and written communication skills with a demonstrated ability to articulate effectively and professionally.
  • Demonstrates relationships and insights to successfully influence others. Builds authentic and trusted relationships to create alignment and support.
  • Bachelor’s degree required.

About Charles Schwab

Charles Schwab is a financial services company that provides a full range of securities, brokerage, banking, money management, financial advisory, investor, and retirement plan services. It operates in four main divisions; investing, wealth management, banking, and trading. Charles Schwab provides a full-service brokerage platform that serves individual investors who invest on their own or through a workplace-sponsored retirement or equity plan, as well as banking through Schwab Bank. The firm was founded in 1973 and is headquartered in San Francisco, California.

Charles Schwab Careers

Join the vibrant team at Charles Schwab, a leader in global finance, where your career is propelled by innovation, leadership, and a commitment to diversity and professional growth. At Charles Schwab, we offer more than just job opportunities; we provide a platform for you to make a significant impact on the industry and our clients' lives.

Work You’ll Do

At Charles Schwab, we are dedicated to helping our clients manage their financial futures. Being part of our team means you'll work alongside some of the most skilled professionals in the financial services industry. Our culture thrives on teamwork, integrity, and relentless dedication to our clients. Whether you're looking for a position in financial consulting, technology, or administrative support, Charles Schwab offers a dynamic work environment where your skills will be honed and your achievements recognized.

Innovate and Lead

Embrace the opportunity to lead through innovation. Charles Schwab’s commitment to technology and innovation is fundamental to our service delivery. By joining our team, you will be at the forefront of developing new solutions that redefine the future of finance. Your leadership can guide significant projects that impact our company and the industry.

Grow Your Career

Charles Schwab believes in fostering the growth of its employees. Whether through professional development programs, diversity training, or leadership workshops, we ensure that our team members receive the support and training they need to advance their careers. With a variety of career paths available, your job at Schwab can evolve with your interests and expertise.

Internship and Employment Opportunities

Start your professional journey with Charles Schwab through our internship programs or full-time employment opportunities. We seek individuals who are passionate, curious, and ready to drive change. A career at Schwab is not just about having a job; it's about building a lasting relationship with a company that values your potential.

Benefits and Culture

Charles Schwab is renowned for its employee-friendly culture. We offer a comprehensive benefits package that supports the health, financial stability, and work-life balance of our team members. From competitive salaries and bonuses to health insurance and retirement plans, Schwab ensures that your career is as rewarding as it is enriching.

Networking and Professional Development

Expand your professional network and enhance your skills through our various networking events, mentorship programs, and training sessions. At Charles Schwab, we believe in leveraging collective expertise to foster learning and innovation. Engage with leaders, gain insights from experienced professionals, and build relationships that will aid your career trajectory.

Join Our Team

Explore the numerous career paths available at Charles Schwab and discover how your talents can be utilized to their fullest potential. Search open positions that match your skills and interests. We are continuously hiring across various disciplines and look forward to adding innovative, driven individuals to our team.

Stay Connected

Keep up to date with the latest from Charles Schwab Careers by subscribing to our job alert emails. Tailor your subscription to receive updates that align with your career preferences and be the first to know about new openings, company news, and professional tips.

Explore Charles Schwab Jobs

Ready to take the next step in your career? Visit our careers page to review current job openings, submit your resume, and prepare for your interview. At Charles Schwab, your future is waiting. [SEARCH CHARLES SCHWAB JOBS] Join Charles Schwab today and be part of a team that values diversity, innovation, and leadership—where your career can thrive in the exciting world of finance.
Learn more about Charles Schwab
Size
34,200 employees
Market Cap
$151.6 billion
Industry
Finance & Insurance
Net Income
$3.2 billion
Founded
1973
5 Year Trend
+20%
Revenue
$12.1 billion
NASDAQ
SCHW
* Ladders Estimates

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